Results for "registered investment advisers (RIA)"

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The new knights of the roundtable

August 23, 2018

Earlier this spring, we hosted a recruiters roundtable at our offices in Boston for a discussion on the evolution of adviser recruiting. Throughout the event, I thought back to Arthurian legend, which introduced the idea of the roundtable was...

Proposed SEC advice rule obscures distinctions between two business models

August 20, 2018

These days, owners of RIA firms are asking me why they should be concerned about the Securities and Exchange Commission's recent attempt to change the rules and standards for broker-dealers. While there are many ways the proposed Regulation...

RIA firms optimistic about hiring and asset growth

August 1, 2018

Advisory firm executives plan to increase headcount over the next 12 months, and 57% of retail-oriented registered investment advisers expect assets under management to increase over the next three years, according to a survey by the Investment...

Despite 20% asset growth, RIA margins declined in 2017

August 1, 2018

While median annual client growth hit a record 7.8% and median assets under management per client climbed 6.8% to nearly $1 million, median operating profit margin at RIA firms dropped to 20% from 24% in 2016, according to a survey by TD Ameritrade...

Biggest RIA gainers

June 9, 2018

Rank 2018 % change 2018 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Breed's Hill Capital 1 Thompson Square, Suite 301 Boston, MA 02129 (617) 580-3440

SEC bars Washington State RIA for selling unregistered promissory notes

July 25, 2018

The Securities and Exchange Commission has barred Jack Jarrell, an investment adviser representative at OAG Wealth Management in Kirkland, Wash., for selling unregistered promissory notes without being a broker-dealer or being affiliated with...

Adviser serves Hispanic clientèle in Puerto Rico and the mainland

July 7, 2018

The day after Hurricane Maria hit Puerto Rico, Eduardo J. Ramos returned to business as usual at Freedom Advisory, the registered investment advisory firm he started 10 years ago in San Juan. The firm is one of just a handful of independent...

Potter Financial shifts from Kestra to Commonwealth

June 20, 2018

The Potter Financial Group, a hybrid managing $130 million in Durham, N.C., has switched its affiliation from Kestra Financial to Commonwealth Financial Network. Making the change are partners Charlie Potter, Chip Roe and Price French, and associate...

A bankruptcy taught this newly minted adviser the value of financial education

June 6, 2018

This is another in a series of stories about recent college graduates and their first jobs in the financial advisory profession. Ten years ago, Blake Pokley and his family were hit hard by the Great Recession. His father lost his job working...

Focus Financial IPO could be a sell signal for RIAs

May 25, 2018

The move by Focus Financial Partners to raise $100 million through an initial public offering could be a cue to RIA owners that it may be time to sell. "This is a big deal, because a Focus IPO would be an opportunity for the investing public...

Largest fee-only RIAs by region, based on assets under management

December 9, 2017

Northeastern success stories Rank Firm Phone/website Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Silvercrest Asset Management Group (212)...

California RIA William Jordan settles with SEC on fraud charges

May 16, 2018

Adviser William Jordan of Orange County, Calif., has settled charges made by the Securities and Exchange Commission that he perpetrated a multi-million-dollar fraud on his clients. In his settlement, Mr. Jordan consented to a permanent injunction....

Taking the plunge and becoming an RIA

October 4, 2017

We have nothing to fear but fear itself. Franklin Roosevelt said that to a troubled nation in the depths of recession many years ago. Although my experience is by no means comparable, when I first decided to "go independent" I felt like the...

Why technology transformations fail

February 1, 2018

Most change initiatives – whether intended to boost quality, improve culture, or re-engineer technology – generate only lukewarm results. Many just simply fail. The reality is that no adviser business survives over the long term if it can't...

LPL announces another round of price cuts at its corporate RIA

April 26, 2018

LPL Financial continues to cut fees for advisers who custody advisory assets on the firm's corporate RIA platform, this time targeting smaller advisers with $25 million to $50 million in assets. The company on Thursday said that, come next January,...

The unique nature of working with celebrity clients

April 24, 2018

A few decades of working with celebrities and professional athletes has taught Jordan Waxman one thing: "They're no different than anyone else; they put their pants on one leg at a time." Mr. Waxman, managing partner at HSW Advisors, has helped...

Why RIAs are the future of financial advising

July 31, 2017

For years the Registered Investment Advisor (RIA) model has been growing in prominence. And now forces are converging to fundamentally transform financial advising in the model's favor. Investors are demanding more from the companies they work...

Focus Financial files for an IPO valued at $100 million

May 24, 2018

Focus Financial Partners is planning an initial public offering, according to an S-1 form filed with the Securities and Exchange Commission on Thursday. The filing did not contain pricing details, but did value the offering at $100 million....

Unlimited vacation time: a nice perk no one expects you'll use

May 21, 2018

Moving into the summer season, the idea of unlimited vacation time might be the ideal recruiting tool for some advisory firms. But when it comes to actually taking that time off, it's often the unwritten rules that matter most. "Offering unlimited...

RIA Rundown: By the Numbers

June 3, 2017

The InvestmentNews RIA Data Center qualified over 1,900 fee-only registered investment advisory firms. For more information, please contact Visit for more-complete profiles and interactive...

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