RIAs

Displaying 5010 results
NEWS RIAS JUL 27, 2017
Fidelity taps Goldman Sachs to expand lending services through RIAs

Streamlined non-purpose loans use investment portfolios as collateral.

By Jeff Benjamin
NEWS RIAS JUL 25, 2017
United Capital buys three RIAs, adds $758 million

The 'hat trick' is in line with consolidator acquisition trends

By Jeff Benjamin
NEWS RIAS JUL 24, 2017
Near-record pace of M&A continues for RIA firms

Second-quarter saw 38 deals, says DeVoe report.

By InvestmentNews
NEWS RIAS JUL 20, 2017
Merrill Lynch trio managing $463 million joins Ameriprise

Team switches firms but stays in Roseville, Calif.

By InvestmentNews
NEWS RIAS JUL 20, 2017
Wells Fargo team managing $351 million in Gainesville, Georgia, goes independent

Strong Gaddy Lee Wealth Management chooses hybrid route with LPL.

By InvestmentNews
NEWS RIAS JUL 20, 2017
SEC fines KMS Financial Services $100,000 for conflicts of interest

Agency says Seattle-based hybrid failed to disclose revenue-sharing with broker-dealer.

By Bloomberg
NEWS RIAS JUL 19, 2017
Focus Financial adds $2.3 billion Texas RIA

Brownlie & Braden Advisors in Dallas joins partnership.

By Bloomberg
NEWS RIAS JUL 18, 2017
Indie BD managing $520 million becomes OSJ

HBW Securities in Simi Valley, California, takes 55 reps to Cetera

By Bloomberg
NEWS RIAS JUL 14, 2017
SEC bars adviser to Tim Duncan and obtains judgment

Already facing a four-year prison term and $7.5 million in restitution, Charles Banks IV to pay other penalties.

By InvestmentNews
NEWS RIAS JUL 14, 2017
DFPG Investments acquires RIA managing $220 million

Addition brings AUM at Salt Lake City brokerage/RIA to $1 billion.

By Bloomberg
NEWS RIAS JUL 14, 2017
Median RIA firm had 25% operating margins in 2016: Schwab

The median RIA firm grew at a 10% compound annual growth rate over last five years, according to the firm's annual study.

By InvestmentNews
NEWS RIAS JUL 13, 2017
In states slow to recover economically, advisers sometimes have to be the bearers of bad news

Recommendations include staying in jobs longer, moving to less expensive houses and even relocating out of state.

By Liz Skinner
NEWS RIAS JUL 12, 2017
Former broker gets 30 months for defrauding investors

Stephen Eubanks of Hingham, Mass., claimed to be an RIA running a hedge fund.

By InvestmentNews
NEWS RIAS JUL 12, 2017
Mercer Advisors acquires $160 million RIA

Wealth Design Services in Rochester, New York, also provides tax services.

By InvestmentNews
NEWS RIAS JUL 12, 2017
New aggregator takes stake in three RIAs managing $11 billion

Wealth Partners Capital buys into Forbes Family Trust, MAI Capital and EP Wealth Advisors.

By InvestmentNews
NEWS RIAS JUL 11, 2017
Merrill Lynch loses $1 billion Beverly Hills team

Matthew Calenza forms Boulevard Family Wealth RIA.

By InvestmentNews
NEWS RIAS JUL 11, 2017
A $200 million Wells Fargo rep forms RIA

James Denholm III launches IronBridge Private Wealth in Austin.

By InvestmentNews
NEWS RIAS JUN 28, 2017
RIAs must confront the emotional side of letting go of their business

Sole proprietors have the hardest time with succession planning.

By Jeff Benjamin
NEWS RIAS JUN 28, 2017
TD Ameritrade adds video performance reports for robo-advice clients

Custodian ramping up its digital-platform offerings in race to accumulate assets.

By Liz Skinner
NEWS RIAS JUN 27, 2017
Despite leaner budgets, SEC's Clayton anticipates a 5% increase in adviser exams next year

SEC chairman acknowledged that tighter budgets would require increased efficiencies to meet examination goals.

By Jeff Benjamin