RIA News

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Concentrated wealth is crumbling and taxes are to blame, says advisor
EQUITIES MAY 30, 2025
Concentrated wealth is crumbling and taxes are to blame, says advisor

Stock success stories are facing resistance as diversification triggers massive tax fallout.

By Chris Davis
$43B Beacon Pointe taps seasoned retirement plan specialist to lead in DFW region
RETIREMENT PLANNING MAY 30, 2025
$43B Beacon Pointe taps seasoned retirement plan specialist to lead in DFW region

After advising on nearly $700 million in retirement assets, 27-year veteran Greg Mykytyn is bringing his expertise in ESOP and 401(k) plans to the national RIA in Texas.

By Leo Almazora
Financial planning is failing high-achieving women, warns advisor
PRACTICE MANAGEMENT MAY 30, 2025
Financial planning is failing high-achieving women, warns advisor

Kelly Klingaman sees a glaring mismatch: more women are earning big, but few planners are speaking their language.

By Chris Davis
How do you turn a seven-figure deal out of college into a lifetime plan?
PRACTICE MANAGEMENT MAY 30, 2025
How do you turn a seven-figure deal out of college into a lifetime plan?

The money comes fast for some but then what? Advisors are scrambling to protect young clients from the long-term traps of private markets.

By Chris Davis
Are you one of the promising wealth management talents under 40?
INDEPENDENT BROKER DEALERS MAY 30, 2025
Are you one of the promising wealth management talents under 40?

InvestmentNews is searching for the country's emerging young talents.

By InvestmentNews
Industry snapshot: More advisors, more clients, $144.6T AUM
RIA NEWS MAY 30, 2025
Industry snapshot: More advisors, more clients, $144.6T AUM

The investment advisory industry is continuing to grow with strength.

By Steve Randall
'Drunken sailors' - Pitcairn CEO warns PE-fueled RIA frenzy will crash
RIA NEWS MAY 29, 2025
'Drunken sailors' - Pitcairn CEO warns PE-fueled RIA frenzy will crash

“Private equity is going to pay more these days, they are throwing around cash like drunken sailors in port, and the multiples don't make any economic sense. At some point this is going to come crashing down, but it hasn't yet,” said Pitcairn CEO Andrew Busser.

By Andrew Cohen
RIA moves: Focus Financial, Cerity Parners notch firsts with latest additions
RIA NEWS MAY 29, 2025
RIA moves: Focus Financial, Cerity Parners notch firsts with latest additions

Focus gets back to external M&A after its January rebrand, while Cerity enters the Arizona market with a veteran planning-focused team.

By Leo Almazora
SEC seeking sanctions for former Florida investment advisor over alleged $17M client fraud
REGULATION AND LEGISLATION MAY 29, 2025
SEC seeking sanctions for former Florida investment advisor over alleged $17M client fraud

Complaint details near decade-long scheme raising almost $40 million from dozens of clients, including Venezuelan nationals, Catholic dioceses, and elderly individuals.

By Leo Almazora
Cetera taps Envestnet alum to head RIA growth platform
INDEPENDENT BROKER DEALERS MAY 29, 2025
Cetera taps Envestnet alum to head RIA growth platform

A veteran with more than two decades of experience, Andina Andreson represents the latest in a string of recent leadership changes at the firm.

By Leo Almazora
$1.6B UBS superteam decamps to RBC Wealth Management
WIREHOUSES MAY 29, 2025
$1.6B UBS superteam decamps to RBC Wealth Management

The latest additions to RBC's long history of attracting billion-dollar UBS teams have bolstered its presence in Boise, Idaho.

By Leo Almazora
Larger trade impact, weaker spending dent US economy
RIA NEWS MAY 29, 2025
Larger trade impact, weaker spending dent US economy

Latest figures from the Bureau of Economic Analysis point to a slowdown in the first quarter of 2025.

By Bloomberg
Romance scams are on the rise. How one RIA advisor is helping vulnerable clients
RIA NEWS MAY 29, 2025
Romance scams are on the rise. How one RIA advisor is helping vulnerable clients

As Mental Health Awareness Month puts "sweetheart scams" in focus, Tom West shares hard-won insights on helping clients and their families manage the risks.

By Leo Almazora
When clients want to hold onto cash, advisors need to help them keep a level head
RIA NEWS MAY 29, 2025
When clients want to hold onto cash, advisors need to help them keep a level head

Wells Fargo Investment Institute’s Veronica Willis talks with InvestmentNews.

By Steve Randall
Ritholtz Wealth Management touts authenticity, JPMorgan woos well-heeled clients with new locations
WIREHOUSES MAY 27, 2025
Ritholtz Wealth Management touts authenticity, JPMorgan woos well-heeled clients with new locations

RWM has unveiled its newest office in Chicago's iconic Salt District as JPMorgan Chase bares plans to scale across four states.

By Leo Almazora
Thrivent plans major hiring spree of nearly 600 advisors in 2025
RIA NEWS MAY 27, 2025
Thrivent plans major hiring spree of nearly 600 advisors in 2025

The Fortune-500 financial services firm plans to hire nearly 600 advisors by the end of this year across its employee and independent channels, wanting a "younger, more diverse population of advisors" in five key cities.

By Andrew Cohen
RIA beat: Integrated Partners welcomes $370M Boston team, Ashton Thomas bolsters Bay Area hub
RIA NEWS MAY 27, 2025
RIA beat: Integrated Partners welcomes $370M Boston team, Ashton Thomas bolsters Bay Area hub

Breaking away from First Citizens Bank, the latest team to join Ashton Thomas in San Francisco bring nearly a billion dollars in assets.

By Leo Almazora
RIA wrap: The Mather Group enhances Bay Area presence as Prosperity Capital bolsters C-suite
RIA NEWS MAY 23, 2025
RIA wrap: The Mather Group enhances Bay Area presence as Prosperity Capital bolsters C-suite

TMG adds to its $14 billion in AUM and AUA with a new California partnership while Cleveland-based Prosperity welcomes two veterans to its leadership.

By Leo Almazora
As Stifel fights one giant claim involving star Miami broker, it quietly settles others
INDEPENDENT BROKER DEALERS MAY 23, 2025
As Stifel fights one giant claim involving star Miami broker, it quietly settles others

The competing legal strategies appear contrary to Stifel's public statements about defending its structured notes' tactics.

By Bruce Kelly
Raymond James lands $2.7B institutional business from Trustmark
INDEPENDENT BROKER DEALERS MAY 22, 2025
Raymond James lands $2.7B institutional business from Trustmark

The IBD has also added a new advisor from Morgan Stanley in Utah, while LPL welcomes an $850 million team from Cetera.

By Leo Almazora