Results for "registered investment advisers (RIA)"

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From the C Suite with ProVise's Ray Ferrara: The best leaders know when it's time to follow

May 23, 2018

Ray Ferrara thinks he works too hard and, as a result, he sometimes pushes those working with him to also work too hard. But he's determined to try and set a better example of a healthy work-life balance at ProVise Management Group. We sat down...

RIA in a Box acquired by private equity firm Aquiline Capital

May 23, 2018

Software service provider RIA in a Box has been acquired by the private equity firm Aquiline Capital Partners. While the terms of the deal were not disclosed, this represents the latest in a growing trend of P-E investors adding exposure to...

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...

Iconiq fires executive after 30-year-old sexual assault charge comes to light

May 21, 2018

Big investors are starting to take a deeper look at the people who handle their money as the #MeToo movement rages. One of Silicon Valley's top wealth-management firms just showed what can happen next. Iconiq Capital, known for catering to Silicon...

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....

Advisers and clients agree: Life's better in the wealth management ecosystem

May 15, 2018

Wikipedia says an ecosystem "is a community made up of living organisms and nonliving components." A digital ecosystem is a "distributed, adaptive, open socio-technical system with properties of self-organization, scalability and sustainability."...

Serial RIA entrepreneur Peter Raimondi starts third firm

May 14, 2018

Peter Raimondi, who has founded and sold two registered investment advisory firms, has launched his third, Dakota Wealth Management. Based in Palm Beach Gardens, Fla., the firm starts off with $600 million in assets, it said in a release. Joining...

Adviser's Consultant: Building a flexible succession plan

May 11, 2018

Jack Hillis isn't quite ready to stop working with clients or give up his lifestyle advisory practice, but at 74 years old, he knew he needed a succession plan in place. His solution was to complete all the paperwork for a sale that will take...

New report sounds alarm over demographic changes facing advice industry

May 9, 2018

The inability of financial advisers to look beyond the baby boom generation to younger clients and colleagues could be hampering the growth potential of the financial planning industry. According to a report out Wednesday from TD Ameritrade...

What are the business priorities of elite 401(k) advisers in 2018?

May 9, 2018

The 401(k) advisory business is maturing. Many elite plan advisers with $250 million or more in defined-contribution assets under management have enjoyed great success since the 2008-09 market collapse, as more plan sponsors have focused on...

Building a team can help advisers build their practice

May 4, 2018

Teaming up with other advisers or practitioners — like attorneys, estate planners and accountants — offers compelling benefits to financial advisers, in the form of broader specialization, attraction and retention of more clients. Generally...

Q&A: Aaron Schaben on being Ron Carson's heir apparent

May 3, 2018

Earlier this year when Aaron Schaben was invited into the board room at Carson Group as an executive vice president, it was founder Ron Carson's way of signaling to the industry that succession planning is serious business. Mr. Schaben, a 32-year-old...

6 big questions about the SEC advice rule

May 2, 2018

Broker-dealers and investment advisers have had two weeks to dissect the Securities and Exchange Commission's proposed overhaul of investment-advice standards, and some big questions have begun to emerge. Here are some of the most pressing issues...

The Rising Cost of Risk

May 2, 2018

As increasing regulations continue to strain resources, entrepreneurs who once viewed an independent RIA as a path to greater independence are discovering the costs and risks can often outweigh the rewards. After seeing a continually growing...

Finra should let brokerages decide whether to supervise unaffiliated RIAs, FSI says

April 30, 2018

A trade association representing independent broker-dealers and financial advisers is calling on Finra to allow firms to decide for themselves whether to supervise their representatives' work for third-party investment advisory firms. Earlier...

Financial Engines to be purchased for $3.02 billion, combined with Edelman

April 30, 2018

The $3.02 billion acquisition of Financial Engines announced Monday is likely to spur more interest on the part of private equity to bring together long-standing advice firms with robo advisers, experts said. The acquirer, private equity shop...

Wirehouses best positioned to benefit from artificial intelligence

April 27, 2018

Wirehouses are positioned to save big money with artificial intelligence technology — at the expense of the smaller advisory firms. According to a new report from Autonomous Research, AI has potential to reduce front, middle and back office...

Hybrid managing $325 million at Royal Alliance switches to Triad

April 26, 2018

Cirrus Wealth Management, a hybrid firm in Cleveland, Ohio, managing $325 million, has changed its broker-dealer and RIA custodial platforms to Triad Advisors from Royal Alliance. Joseph P. Heider, founder and president of Cirrus, leads the...

401(k) record-keeper consolidation is about to heat up

April 26, 2018

Though there have been a few recent high-profile 401(k) record-keeper acquisitions — think Transamerica's purchase of Mercer's defined-contribution business and Blackstone's acquisition of Aon Hewitt's — there has been a lull in the consolidation....

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,...

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