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.
Nine-month electronic trading freeze and share lending program at the center of dismissed claim.
Meanwhile, Rossby Financial's leadership buildout rolls on with a new COO appointment as Balefire Wealth welcomes a distinguished retirement specialist to its national network.
With a smaller group of companies driving stock market performance, advisors must work more intentionally to manage concentration risks within client portfolios.
Professional athletes are often targets of scam artists and are particularly vulnerable to fraud.
The brokerage giant tells Wall Street it will use artificial intelligence to reach clients it has never been able to serve — and turn the technology's perceived threat into a competitive edge.
As technical expertise becomes increasingly commoditized, advisors who can integrate strategy, relationships, and specialized expertise into a cohesive client experience will define the next era of wealth management
Growth may get the headlines, but in my experience, longevity is earned through structure, culture, and discipline
