Results for "registered investment advisers (RIA)"

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An inside job: Advisers are picking, grooming successors from within

June 1, 2019

Bert Herzog III doesn't have plans to step aside anytime soon from Executive Wealth Management, the Brighton, Mich.-based advisory firm he founded in 1981. But the 61-year-old already has a plan in place to ensure that his $850-million investment...

RIA Rundown 2019: Biggest gainers

June 1, 2019

Rank 2019 2019 Total Discretionary Nondiscretionary Firm Phone/website % change assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 The Mather Group 353 N. Clark St., Suite 2775 Chicago, IL 60654 (630) 537-1078 themathergroup.com...

Retirement plan provider sticks with embattled celeb Tony Robbins

May 31, 2019

Self-help guru Tony Robbins, whose business relationship with $38 billion RIA Creative Planning ended last week following a wave of sexual misconduct allegations, is maintaining his affiliation with $1 billion retirement plan provider America's...

What the new DOL fiduciary rule will probably look like

May 31, 2019

The form and substance of the Department of Labor's new fiduciary rule, set to be unveiled by the end of the year, is anybody's guess. But there are a few clues, and attorneys who specialize in fiduciary and retirement law have mined them to...

Dynasty Financial boosts M&A tools for RIAs using its platform

May 30, 2019

Dynasty Financial Partners said Thursday that it is amplifying its support for registered investment advisers who use Dynasty's platform so they can better compete in the hot RIA mergers and acquisitions market. The new business line and suite...

Jeopardy champion James Holzhauer squares off against aspiring financial planner. Guess what happened?

May 30, 2019

As Jeopardy contestant James Holzhauer closes in on becoming the winningest contestant in the TV show's 35-year history, one aspiring financial planner offers an inside perspective on squaring off against the best player many fans of the show...

Tony Robbins split was in the works for months, RIA now says

May 30, 2019

A week after it was reported that Creative Planning had severed ties with self-help guru Tony Robbins in the wake of a string of sexual misconduct allegations against him, the RIA is now claiming it was in the works for months before those charges...

Bob Oros opens up about HighTower's aggressive growth strategy

May 29, 2019

After Goldman Sachs' agreement this month to purchase United Capital for $750 million, "good vibrations" are spreading across the registered investment adviser industry. And why not? Since summer is almost here, it would be appropriate to cite...

Overlooked fund category is dominating 2019

May 29, 2019

The stock market's volatility over the past several months has generally favored actively managed investment strategies, in a switch from passive strategies' generally stronger performance in recent years. But the biggest surprise so far this...

SEC to tackle thorny topic: How much advice brokers can give without being an adviser

May 28, 2019

When it votes on a final investment advice reform package next week, the Securities and Exchange Commission will revisit an explosive issue: The extent to which brokers can provide advice without having to register as investment advisers. When...

Sometimes a sale is the best succession plan

May 28, 2019

When Kara Duckworth and her father Michael Duckworth began looking for ways to transition ownership of the advisory firm they launched in 1998, selling the business was not what they had in mind. "We were originally going to do an internal succession...

SEC busts RIA for padding advisory fees by 40%

May 28, 2019

The Securities and Exchange Commission charged North Carolina-based financial adviser Stephen Brandon Anderson with defrauding clients by padding his asset-based advisory fees by at least $367,000 over a two-year period. The SEC order prohibits...

Tony Robbins loses role with RIA amid charges of sexual misconduct

May 24, 2019

Self-help guru Tony Robbins is quickly becoming persona non grata across the financial planning industry following recently reported accusations by nine women of sexual misconduct over several decades. Overland Park, Kans.- based Creative Planning,...

5 CRM functions advisers ignore at their peril

May 22, 2019

Client relationship management (CRM) software is one of the most popular and vital components of the modern adviser's desktop. The 2019 InvestmentNews Adviser Technology Study found 85% of advisers are using a CRM, and many have these systems...

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...

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...

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