If you’ve wondered how one RIA stacks up against another (at least with reference to the firm’s AUM) then you’re not alone. Which is why InvestmentNews has added this important data to its invaluable new series of data dashboards.
Valuable competitive insights are available from the Investment News’ “Assets Under Management Per Firm” dashboard, which is updated monthly. In addition to AUM figures, detailed employment data on over 9,000 US-based investment firms are also provided and updated monthly from US Securities and Exchange Commission (SEC) filings.
This comparison excludes firms with fewer than 10 investment advisory functions. These smaller firms, despite having billions of dollars in AUM according to SEC filings, likely centralize their decision-making to affiliates or delegate it to third-party managers. Notably, firms included in this analysis – those with at least 11 advisory functions – may also engage outside managers for certain decisions. “Advisory functions” are activities conducted by an investment advisor who offers guidance to clients on investment decisions.
Elsewhere in Utah, Raymond James also welcomed another experienced advisor from D.A. Davidson.
A federal appeals court says UBS can’t force arbitration in a trustee lawsuit over alleged fiduciary breaches involving millions in charitable assets.
NorthRock Partners' second deal of 2025 expands its Bay Area presence with a planning practice for tech professionals, entrepreneurs, and business owners.
Rather than big projects and ambitious revamps, a few small but consequential tweaks could make all the difference while still leaving time for well-deserved days off.
Hadley, whose time at Goldman included working with newly appointed CEO Larry Restieri, will lead the firm's efforts at advisor engagement, growth initiatives, and practice management support.
Orion's Tom Wilson on delivering coordinated, high-touch service in a world where returns alone no longer set you apart.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today's choppy market waters, says Myles Lambert, Brighthouse Financial.
