United Capital Financial Advisers will acquire the assets of Peak Capital Investment Services – an advisory firm with $600 million in assets under management – executives revealed at the Schwab Impact Conference here in San Francisco today.
The following is an edited version of an Oct. 17 speech by Carlo V. di Florio, director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, at the annual meeting of the National Society of Compliance Professionals in Baltimore
Every time the debate over the fiduciary standard of client care hits the news, RIAs pick up a few more clients
Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners.
It is time our elected leaders and presidential wannabes treat America's jobs crisis as the social and economic catastrophe that it is, and not just as fodder for 2012 campaigns
Evercore Wealth Management's Charles Ryan talks about his firm's recent growth an expansion -- and what lies ahead for the rest of 2011 and 2012. For more INTV with top RIAs, <a href=www.investmentnews.com/section/multimedia?playerType=INTV>click here.</a>
With Americans practically addicted to the Internet, a web-based investment advisory business would seem to be an idea whose time has come
Combined firms will have nearly $2.5B in assets under management
White paper by Georgetown professor will broaden — and stir up — discussion, TD Ameritrade's Bradley predicts
After cutting back on hiring in the wake of the 2008 downturn, advisory firms are seeking fresh talent — partly to jump-start growth, which has slowed in the past year, and partly as a form of succession planning
Market turmoil usually slows job hopping by brokers and financial advisers, but RIA custody firms say that their pipelines are as full as ever — and they don't expect a slowdown soon
Along with jobs, raising taxes on the rich is one of things the Wall Street protesters feel strongly about, as Andrew Cuomo, the Democratic governor of New York, is learning all too well.
AUMs, number of clients also up; firms doing more with less
Big firms were in play, private-equity firms were active; next two years could see 'frenetic activity'
Pessimistic mass-affluent, millionaire investors are putting more money in play
Enforcement actions against advisers up by nearly a third, B-Ds by 60%; 'settlements are not feeble'
IRS warns of “noticeable degradation” of taxpayer services and enforcement if Congress follows through on a plan to cut about $500 million from the agency's budget for fiscal 2012.
