Results for "registered investment advisers (RIA)"

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The First 90 Days:

June 27, 2017

For newly created Registered Investment Advisor (RIA) firms, the first 90 days after launch can be both exhilarating and daunting in equal measure. On the one hand, firms get their first taste of independence as they begin to shape a new enterprise...

RIA adviser gets two years in prison for cherry-picking trades

June 26, 2017

Michael J. Breton, an adviser at a Waltham, Mass.-based registered investment adviser, has been sentenced to two years in prison and two years of supervised release, and ordered to forfeit $1.33 million and pay restitution in the same amount...

The First Steps:

June 21, 2017

Registered Investment Advisor (RIA) firms often are born from inspiring goals: to pursue greater personal independence, to forge stronger client partnerships, or perhaps to build a successful enterprise. Those making the leap to independence...

5 benefits of transitioning to independence

June 13, 2017

The RIA channel is one of the fastest-growing areas of the advisory market, expanding more than 11% annually, compared with an 8.6% rate for the overall industry, according to Cerulli Associates. This growth has been fueled in part by a migration...

Mercer Advisors names Dave Welling CEO

June 13, 2017

Mercer Advisors, a $10.3 billion advisory firm, has replaced chief executive David Barton with Dave Welling. Mr. Barton, 51, will move into the role of vice chairman and will lead the firm's newly created merger-and-acquisition efforts, according...

Houston-area RIA pleads guilty to $1.9 million mail fraud

June 9, 2017

Lawrence Allen DeShetler, a state-registered investment adviser and certified financial planner from The Woodlands, Texas, has pleaded guilty to mail fraud in federal court and faces a maximum sentence of 20 years. Mr. DeShetler fraudulently...

RIAs tout their fiduciary status to clients as DOL rule implementation begins

June 9, 2017

Some registered investment advisory firms reached out to clients in advance of Friday's partial implementation of the Labor Department's fiduciary rule to clarify expectations for those who may be confused by increased chatter about "best interest"...

In the future, advisers will be at customers' beck and call

June 8, 2017

Within five years, advisory firms will be focused more on helping clients with all of life's decisions and will spend little time on investment management or even financial planning. Advisers will deliver some of this guidance digitally and...

10 wealthiest states for RIAs

June 6, 2017

When it comes to attracting client assets, location matters. InvestmentNews Research took a look at where registered investment advisers had the most client assets under management in 2017. Click through to find out which states have the firms...

RIA firms ride consolidation wave

June 3, 2017

Against the backdrop of the relatively short history of modern financial planning, it appears there has never been a better time than now to be participating in this industry. Many of the things often identified as challenges, including regulatory...

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 INResearch@investmentnews.com. Visit data.investmentnews.com/ria/ for more-complete profiles and interactive...

RMB Capital acquires VennWell

May 31, 2017

RMB Capital, a diversified RIA firm headquartered in Chicago with more than $6.7 billion in assets under management, has acquired VennWell, a financial planning and investment management firm in Lake Forest, Ill., that manages $250 million in...

SEC fines RIA $230,000 over conflicts

May 30, 2017

The Securities and Exchange Commission has obtained final judgments against Stamford, Conn.,-based Momentum Investment Partners and its CEO, Ronald J. Fernandes, for failing to disclose to some advisory clients certain fees they were being charged....

Managing income level risks for retired clients

May 27, 2017

You are adept at managing your clients' tax planning during their work years, but you also need to be attuned to tax planning opportunities after they retire. During retirement, clients can exceed several thresholds that may cause their tax...

RIA models retainer fees after a McDonald's menu

May 26, 2017

No matter how difficult the financial planning challenge, Bill Simonet tries to keep his fee structure as simple as possible. The managing principal at Simonet Financial Group still offers an asset-based pricing model for clients who only want...

Fee pressure has RIAs considering moving from AUM to retainer model

May 26, 2017

As investors become increasingly cost conscious and more savvy about fees, some financial advisers claim to be poised to field any and all challenges by embracing a retainer-fee model. Unlike the more popular model of charging clients based...

A Wells Fargo $180 million team starts an RIA

May 24, 2017

A three-person team managing $180 million in client assets at Wells Fargo Advisors in Orange, Calif., has broken away and formed a registered investment advisory firm. The firm, Guardian Financial Partners, is headed by Patrick C. Guinet and...

How regulators will make or break the future of hybrid advisers

May 24, 2017

Despite the regulatory pressure on financial advisers to transition to an entirely fee-based business, the hybrid model remains an important option to fully service high-net-worth and mass affluent clients. Hybrid advisers, also known as dually-registered...

In new fiduciary rule FAQs, DOL gives quasi-endorsement of clean shares

May 23, 2017

The Department of Labor, in a recently released set of frequently asked questions related to its fiduciary rule, gave an endorsement of sorts to clean shares, saying the new mutual-fund share class represents one of the "most promising responses"...

RIAs and broker-dealers charge ahead in prep for DOL fiduciary rule

May 23, 2017

Registered investment advisers and broker-dealers are taking the Department of Labor's decision to decline another round of delays for the fiduciary rule in stride. Indeed, it looks to be business as usual for registered investment advisers,...

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