Results for "registered investment advisers (RIA)"

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RIA launches its own direct-to-consumer planning and robo-advice technology

May 20, 2019

While firms across the advice industry are turning toward financial planning and digital advice technology to reach new clients and assets, North Capital, a registered investment adviser with $244 million in assets under management (according...

Goldman Sachs acquires United Capital

May 16, 2019

Goldman Sachs' acquisition of United Capital for $750 million in cash will give the storied New York investment bank an opportunity to reach more high net worth clients, namely those with $1 million to $15 million in assets. Currently, Goldman...

Assigning a chief diversity officer doesn't fix an inclusion issue

May 15, 2019

We hear a lot about diversity, equality and inclusion, and with good reason. Our society has come a long way, but more needs to be done for the American workforce to truly reflect the multicultural makeup of America. Despite the nationwide push...

Bob Oros of HighTower calls protocol exit 'form over substance'

May 15, 2019

HighTower Advisors put an exclamation point on its move away from recruiting breakaway brokers this week by officially exiting the broker protocol. "It's a little bit of form over substance," said Bob Oros, chief executive of the $50 billion...

What does a Goldman-owned United Capital mean for advisers?

May 14, 2019

Joe Duran's long-rumored search for additional investment in United Capital Financial Partners seems to be concluding with a sale to Goldman Sachs Group. There are still a lot of questions surrounding the deal's specifics and what it means for...

What does a Goldman-owned United Capital mean for advisers?

May 14, 2019

Joe Duran's long-rumored search for additional investment in United Capital Financial Partners seems to be concluding with a sale to Goldman Sachs Group. There are still a lot of questions surrounding the deal's specifics and what it means for...

Benjamin F. Edwards expands its recruiting net with a corporate RIA

May 13, 2019

After a decade of building Benjamin F. Edwards & Co. into a 300-rep independent broker-dealer with $25 billion of assets under management, the firm's focus is now expanding to the independent advisory space. The St. Louis-based broker-dealer...

Goldman Sachs said to be near deal to buy United Capital

May 10, 2019

The Goldman Sachs Group Inc. is close to buying United Capital Financial Partners Inc., a leading roll up and aggregator of registered investment advisers, according to a report in the Wall Street Journal on Friday and InvestmentNews sources....

Focus Financial sees brisk activity in the M&A market for RIAs

May 9, 2019

Focus Financial Partners continues to see plenty of deal activity in the RIA space, reporting Thursday that it had 24 transactions that either closed or were pending so far in 2019. Focus, which became a publicly traded company last year, narrrowed...

Softer side of wealth management will prevail in the future

May 9, 2019

The future of financial planning is leaning toward the softer side of wealth management, according to a panel of industry executives speaking Thursday at the Carson Excell conference in Chicago. "The kinds of people who are great at developing...

What 401(k) advisers can learn from a viral social media post

May 8, 2019

Not too long ago I took my wife out to dinner, something I don't do enough. We went to a local place here in Austin. The overall experience was wonderful. When we got the bill, I noticed something a little unusual at the bottom: A separate fee...

Merrill loses $450 million breakaway team

May 7, 2019

Craig Robson, an Atlanta-based adviser managing $450 million in client assets has left Merrill Lynch to create the independent firm Regent Peak Wealth Advisors. Mr. Robson had been with Merrill Lynch since 1994. Joining Mr. Robson at his new...

HighTower taps three new executives for senior roles

May 6, 2019

HighTower Advisors said Monday that it had tapped three senior financial services executives to fill marketing and practice management jobs at the firm, which has $48.1 billion in assets and consists of 98 advisory businesses. Abby Salameh,...

Conflicting tax information creates 'nightmares' for some investors

May 6, 2019

Brokerage firms are sending tax statements to clients and the IRS with information that differs from the taxes investors ultimately owe, leading some filers to appear to owe tax on profits they never made. The federal tax code contains two sets...

Don't let these four data myths hold you back

May 6, 2019

The most successful wealth management firms today continually maximize the value they provide for clients. In many ways, they've embraced forward-thinking technology and business models — think robo-advisers, outsourced investment management...

The longest bull market in history can't shake the skeptics

May 3, 2019

With the S&P 500 Index up more than 16% from the start of the year, the current bull market is officially the longest on record. But the latest mutual fund flow data suggest retail investors might be getting tired of the run. This year through...

Cresset acquires $500 million Cypress Wealth Advisors

May 2, 2019

Cresset Asset Management has acquired Cypress Wealth Advisors, a San Francisco-based RIA with more than $500 million in assets under management. With the acquisition, Cresset, which also is based in San Francisco, now manages $4.5 billion in...

Cerity Partners acquires $500 million hybrid

May 2, 2019

Chicago-based Cerity Partners has acquired Karsten Advisors, a Fort Worth, Tex.-based hybrid firm manages $500 million in assets. Cerity now has nearly $22 billion in assets under advisement. Last month, it bought Blue Prairie Group, which oversees...

Advisers put fundamentals ahead of sell-in-May warning

May 1, 2019

Historically speaking, there's a strong case for following the Wall Street adage to sell in May and go away until late fall. But there are exceptions to every rule, and that isn't even technically a rule. While most financial advisers tend to...

Top RIAs view talent and technology as biggest challenges

May 1, 2019

While 41% of top RIA firm executives consider hiring and developing talent to be their biggest challenge, wringing more value from their large technology budget is viewed as the biggest business challenge by 37% of the executives, according...

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