RIAs

Displaying 4938 results
Wealth Enhancement, Alphacore ink new RIA partnerships
NEWS RIAS MAR 26, 2025
Wealth Enhancement, Alphacore ink new RIA partnerships

Wealth Enhancement is tapping into new markets nationwide as AlphaCore accelerates plans to form one of California's largest RIAs.

By Leo Almazora
LPL Financial’s new CEO Steinmeier gets pay bump but lags Wall Street rivals
NEWS RIAS MAR 26, 2025
LPL Financial’s new CEO Steinmeier gets pay bump but lags Wall Street rivals

But one industry executive believes his pay could catch up over time.

By Bruce Kelly
Dynasty forges RIA custody partnership with Goldman Sachs
NEWS RIAS MAR 26, 2025
Dynasty forges RIA custody partnership with Goldman Sachs

The collaboration gives Dynasty's $105 billion network of over 500 advisors access to new custodial services, asset management, and lending expertise.

By Leo Almazora
Wells Fargo keep hiring senior executives for its RIA business
NEWS RIAS MAR 25, 2025
Wells Fargo keep hiring senior executives for its RIA business

The financial advice industry has waited for years to see if the wirehouse would embrace RIAs.

By Bruce Kelly
CW Advisors, Waverly unveil Northeast acquisitions
NEWS RIAS MAR 25, 2025
CW Advisors, Waverly unveil Northeast acquisitions

Double deal pushes CW Advisors past the $12 billion barrier as Waverly debuts in the Maryland and Virginia markets.

By Leo Almazora
Wealth firms still going for growth amid market disruption, Natixis finds
NEWS RIAS MAR 25, 2025
Wealth firms still going for growth amid market disruption, Natixis finds

Poll of firms across RIAs, wirehouses, and private banks offers fresh insights around ETFs, alternative investments, and AI adoption.

By Leo Almazora
Former Morgan Stanley breakaway family joins Commonwealth
NEWS RIAS MAR 25, 2025
Former Morgan Stanley breakaway family joins Commonwealth

Founder of $213M AUM firm says wirehouse advisors should take the leap.

By Steve Randall
Finra hits RIA buyer NewEdge with $1 million penalty over Muni bond trades
NEWS RIAS MAR 24, 2025
Finra hits RIA buyer NewEdge with $1 million penalty over Muni bond trades

The market for municipal bonds is notorious for being opaque and filled with difficult to price securities.

By Bruce Kelly
Why these RIA firms are sitting out the M&A trend
NEWS RIAS MAR 24, 2025
Why these RIA firms are sitting out the M&A trend

Leaders at Five Eleven Partners and Johnson Investment Counsel speak out on the costs of consolidation, the pros and cons of PE, and how they're planning ahead for clients and advisors.

By Leo Almazora
Cambridge hit with $15M penalty over conflicted fund recommendations
NEWS RIAS MAR 21, 2025
Cambridge hit with $15M penalty over conflicted fund recommendations

SEC complaint charges RIA with fiduciary breaches over client assets invested in mutual funds and money market sweep funds that created millions of dollars in revenue-sharing payments to broker dealer appropriate.

By Leo Almazora
WPCG, Merit expand with latest multibillion-dollar RIA partnerships
NEWS RIAS MAR 20, 2025
WPCG, Merit expand with latest multibillion-dollar RIA partnerships

WPCG gains a foothold in Kentucky while national RIA Merit makes its Idaho debut.

By Leo Almazora
SEC accuses RIA firm, owner of violating settlement in multi-year fraud
NEWS RIAS MAR 18, 2025
SEC accuses RIA firm, owner of violating settlement in multi-year fraud

Commission says that fund and its investors lost $1.6M as a result.

By Steve Randall
RIA M&A outlook still strong in 2025 amid market uncertainty
NEWS RIAS MAR 13, 2025
RIA M&A outlook still strong in 2025 amid market uncertainty

Report highlights continuing momentum in deal activity, with private equity and minority transactions rising in prominence.

By Leo Almazora
RIAs showing increasing favor to ETFs for diversification, lower fees
NEWS RIAS MAR 13, 2025
RIAs showing increasing favor to ETFs for diversification, lower fees

Report highlights trends for $11T exchange-traded funds industry in US.

By Steve Randall
LinePoint, Five Eleven Partners launch to shake up family office space
NEWS RIAS MAR 11, 2025
LinePoint, Five Eleven Partners launch to shake up family office space

With a pro-advisor and family executive platform and a business pushing back against industry consolidation, the New York-based firms are striking out with different visions of independence.

By Leo Almazora
CEO Andrew Busser sets the stage for Pitcairn’s next 100 years
NEWS RIAS MAR 11, 2025
CEO Andrew Busser sets the stage for Pitcairn’s next 100 years

Pitcairn's leader has no problem combining tradition and innovation.

By Gregg Greenberg
Americana Partners, Apella Wealth unveil strategic acquisitions
NEWS RIAS MAR 10, 2025
Americana Partners, Apella Wealth unveil strategic acquisitions

Americana is making its first foray outside the Lone Star State, while Apella welcomes another partner in New England.

By Leo Almazora
Carson Group welcomes Envestnet alum Ramesh Vaswani
NEWS RIAS MAR 10, 2025
Carson Group welcomes Envestnet alum Ramesh Vaswani

The national RIA is leaning into its technology strategy by tapping Vaswani's more than 20 years of experience as Carson's new CTO.

By Leo Almazora
AlTi expands into Germany with Kontora Family Office deal
NEWS RIAS MAR 07, 2025
AlTi expands into Germany with Kontora Family Office deal

The wealth giant overseeing $77 billion in total assets has secured itself a foothold in the world's third-largest ultra-high-net-worth market.

By Leo Almazora
Dynasty, FL Putnam announce additions in Virginia
NEWS RIAS MAR 06, 2025
Dynasty, FL Putnam announce additions in Virginia

Dynasty Financial Partners helps a Goldman team return to independence as FL Putnam inks its fifth deal in 12 months.

By Leo Almazora