Family offices are increasingly common for the ultra-wealthy to manage their fortunes and take care of their personal needs.
The SEC initiative seeks to raise standards and let investors understand the motivations of their adviser, without limiting choice.
55 million American workers without a workplace plan must have the opportunity to get that coverage and start investing. They aren't doing it on their own.
Four-adviser team in Sarasota, Fla., moves with its two assistants.
Chairman Jay Clayton says proposal would increase investors' access to research.
CEO Daniel Bryant: 'It's a logical next step for us. This has always been our intention, regardless of what IFP is doing.'
SEC alleged that Perry Gruss abetted cash moves at defunct D.B. Zwirn.
The $100 million stock offering will fine-tune RIA valuations.
Complaint alleges the firm's policies limit African-Americans' 'income and advancement opportunities'
The elimination of the deduction for alimony payments calls into question existing prenuptial agreements.
Observers say it's difficult to determine if this is a harbinger of the outcome in the roughly 20 outstanding lawsuits.
The RIA aggregator, founded by CEO Ruediger 'Rudy' Adolf (above), has partnered with more than 50 registered investment adviser firms.
Four-person Undivided Wealth Management is based in St. Louis.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
Says firm was negligent in case involving energy stock selection.
He's pursuing an aggressive growth strategy and learning from past mistakes.
Workarounds to avoid federal limits on state and local taxes in some states could be considered tax evasion.
New owners plan more growth for the software service provider.
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
