Results for "registered investment advisers (RIA)"

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RIA owners should know what their firm is worth, but many don't get valuations

February 15, 2018

Nothing perks up the owner of a financial advisory firm quite like a conversation about valuations, but for some reason most firm owners never make the effort to determine exactly what their business is worth until they're being acquired. "I...

If Finra eases firm oversight of outside business activities, broker-dealers could lose revenue

February 15, 2018

A pending Finra proposal to ease the requirement that brokerages supervise their representatives' work with unaffiliated registered investment advisers sounds like regulatory relief. But some brokerages are worried about the price for losing...

Don't sell your soul for a large transition package

February 14, 2018

In the 16th century book, Faust sells his soul to the devil, Mephistopheles, in exchange for 24 hours of tutelage in black magic. It was a decision he would later regret. As a financial adviser in today's world, you may be "tempted" with very...

Mercer Advisors adds $364M RIA in its third deal of 2018

February 13, 2018

Mercer Advisors has pushed its assets under management above the $12 billion mark with its latest acquisition of Clearwater, Fla.-based GFS Private Wealth. GFS, which has $364 million under management, represents the third acquisition this year...

New York adviser sentenced to six months for insider trading

February 13, 2018

Tibor Klein, a Long Island, N.Y., investment adviser, was sentenced to six months in prison on Monday after pleading guilty to insider trading in connection with Pfizer Inc's $3.6 billion acquisition of King Pharmaceuticals Inc. in 2010. U.S....

Massachusetts regulator mulls greater fee disclosure

February 8, 2018

Securities regulators in Massachusetts are asking for comments on a proposed regulation that would require investment advisers registered with the state to create a fee table to be given to new and existing advisory clients. "Recent changes...

Canadian PE firm buys Rosemont's interest in Westmount

February 6, 2018

Temperance Partners, a Canadian private-equity firm, has purchased a minority stake in Westmount Asset Management from Rosemont Investment Partners. Terms of the deal were not announced. Westmount, which manages more than $2.8 billion, is one...

Market pullback presents robo-advisers with biggest test yet

February 6, 2018

Robo-advisers underwent their biggest stress test to date Monday as the market's slide drove a surge in the volume of investors trying to access their accounts at the fledgling companies, most of which aren't yet 10 years old. The experience...

In case of Ariel v. Ariel, the little Ariel triumphs

February 2, 2018

A federal appeals court in Illinois has reversed a lower court's decision that Florida-based RIA Ariel Capital Advisors had infringed on the trademarks of Chicago-based Ariel Investments, an asset manager. In March, a federal court in Chicago...

Disclosure not the solution for a fiduciary standard, industry reps agree

February 2, 2018

Representatives from both the brokerage industry and the registered investment advisory side of the advice business expect the Securities and Exchange Commission to produce some kind of proposal this year for a fiduciary standard for brokers....

Number of RIA deals down in 2017, new report says

February 1, 2018

Advisory firm merger and acquisition activity declined for the second straight year, but still ranked as the third-strongest year on record, according to TD Ameritrade Institutional's latest benchmarking report released Thursday. The pace of...

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...

Texas suspends state RIA for 90 days

January 30, 2018

The Texas Securities Commission has suspended Jason N. Anderson, a Beaumont, Texas, investment adviser representative, for 90 days, for charging unreasonable fees to clients. Mr. Anderson, while registered as an agent of LPL Financial, a firm...

XY Planning Network payment tool now available for all fee-based planners

January 22, 2018

If consumers can automatically pay their Netflix or Amazon Prime subscriptions each month using a credit card, why can't they do the same for financial planning? That's the questions Michael Kitces and Alan Moore, co-founders of the XY Planning...

RIA mergers and acquisitions set another record in 2017

January 22, 2018

Merger and acquisition activity in the registered investment adviser space accounted for 153 deals in 2017, representing a fourth consecutive record year, according to the latest research from DeVoe & Co. The year's M&A activity, which started...

SEC bars broker-adviser Frank Mazzola

January 19, 2018

The Securities and Exchange Commission has barred former broker and registered investment adviser Frank Mazzola of Upper Saddle River, N.J., for participating in securities sales when he was no longer registered. The SEC said that from 2009...

TD Ameritrade finds momentum in its new model portfolio marketplace

January 17, 2018

TD Ameritrade Institutional is offering a leg-up to do-it-yourself financial advisers who want to be involved in portfolio construction, but not so much that it's the only thing they're doing for clients. After more than three months of beta...

Delay in fiduciary rule does not take any wealth managers off the hook

January 16, 2018

The DOL fiduciary rule implementation has been delayed. While consumer advocates applauded the new oversight, very few within the wealth management industry felt the regulation was anything but awkward and clunky. Fewer still believe that nonretirement...

Lightyear Capital takes 50% stake in $9 billion HPM Partners

January 16, 2018

Private-equity investor Lightyear Capital has taken a roughly 50% ownership stake in HPM Partners, a New York-based wealth management firm with more than $9 billion under management. The deal, announced Tuesday, shifted the ownership of HPM...

Mercer acquires multimanager BFC to boost delegated investment push in Japan

January 16, 2018

Mercer acquired Tokyo-based hedge fund multimanager BFC Asset Management Co. in a move its global wealth management chief predicts will accelerate the nascent growth of Mercer's delegated investments business in Japan. Rich Nuzum, president...

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