Agency says Dawn J. Bennett and her firm inflated numbers from at least 2009 to February 2011 to try and lure in clients to new firm.
Administrative law judge rules against the agency in closely watched case over disclosure of Fidelity payments for mutual fund sales.
Institutional Intelligent Portfolios compels advisers to keep at least 4% cash allocation, offers platform for 10 bps.
Mark Johannessen says firms need to help each staff member grow and feel respected as a professional. Here's how he does it.
Advisers have a lot to consider when picking an automated investment service to use with their clients — here is a rundown of the features and functionality of the top adviser-targeted platforms.
Retail investors respond in large numbers to the Intelligent Portfolios offering.
More than 20,000 independent RIAs in the U.S. increased assets 82% to $2.3 trillion from 2007 to 2013 while assets at largest retail brokerages rose 8.2% to $6.2 trillion.
Bronfman E.L. Rothschild buys Neal Simon's Highline Wealth Management, creating a $3.6 billion firm — the latest example of big consolidations among independent advisers.
Where the RIA wealth is spread out across the country, plus the 10 biggest firms
Firm sees new way to cut the middleman, product fees for clients while capturing top investment ideas.
The practice is growing quickly even beyond wirehouses, but some are concerned about the risks and conflicts of interest.
Legacy Wealth includes two partners who formerly worked at Gibralter Private Bank and Trust of Coral Gables, Fla.
BEAM Asset Management brings over 32 advisers and $6.5 million in revenue.
Ron DeCicco expects the RIA channel to continue growing while regulatory pressures and higher expenses weigh down broker-dealers.
CEO Tomczyk says time is now to prepare for end of global fiscal stimulus.
Says New York REIT has too much executive and board overlap with AR Capital.
The top of <i>InvestmentNews'</i> annual ranking of fee-only RIAs features traditional firms that collectively pose a threat to the largest brokerages.</br><b><i>(Plus: <a href="http://www.investmentnews.com/section/specialreport/20150531/RIA201505" target="_blank">Our full RIA Rundown 2015 special report</a>)</b></i>
Share of wealth held by millionaires rose 16%, driven by strong performance of equities, report finds.
The Bahnsen Group, which brought in $5 million in annual revenue last year, joins in Newport Beach, Calif.
Independent brokers and investment advisers will no longer have to pay a $200 per-person yearly tax.
