Results for "registered investment advisers (RIA)"

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Smart money is pouring into fixed income

April 19, 2019

Even with the roaring start to 2019 that has the S&P 500 Index up nearly 16% through Thursday, an increased appetite for fixed-income strategies suggests the emergence of a more conservative mindset among investors. While the first three months...

Adviser fintech moving from the back office to client interactions

April 18, 2019

Adviser technology has historically focused on improving back-office efficiency. That is starting to change. Adviser fintech is increasingly focused on making experiences better for clients, said Dani Fava, director of institutional innovation...

InvestmentNews announces 2019 Innovation Awards winners

April 17, 2019

Six firms received InvestmentNews Innovation Awards Wednesday night for their creative and effective approaches to helping advisers run better businesses, improve client outcomes and tackle other planning industry challenges. The winners were...

Thirst for diversification leads more advisers to interval funds

April 16, 2019

With the bull market now a decade old, financial advisers are showing an increased willingness to give up investment liquidity in exchange for strategies that don't move in sync with the broad equity markets. Interval funds, named for their...

'Retire in place' doesn't cut it as a succession plan

April 16, 2019

It has become apparent to me that the succession plan of many older advisers is simply to retire in place. To achieve this, advisers basically stop working full-time, place all (or most) client assets in fee-based accounts, strip out as many...

Texas adviser managing $341.5 million becomes RIA

April 15, 2019

Robert Harrell II, who managed $341.5 million as an employee broker at Raymond James in Austin, Tex., has given up his securities licenses and opened Harrell Investment Partners, a registered investment advisory. The firm will use Raymond James...

RIA succession plan takes the long view

April 15, 2019

In a financial planning industry constantly chastised for not taking succession planning seriously enough, Michael Chasnoff might be considered an anomaly: He's 12 years into a 22-year succession plan. Mr. Chasnoff, founder and chief executive...

RIAs needn't fear the large custodians

April 12, 2019

Editor's note: This story was amended after it was brought to our attention that Ms. Crowther has represented Charles Schwab. As competition continues for financial advisory clients, there may be a tendency for registered investment advisory...

CFP Board's women mentoring program falls short of some expectations

April 11, 2019

When it comes to increasing the ranks of women in the financial planning industry beyond the current level of 15% of all advisers, mentoring has often been viewed as a logical step in the right direction. Unfortunately, as some organizations...

You won't believe how some advisers are hedging market risk

April 11, 2019

As stock market volatility starts creeping higher, some financial advisers are reading the signals and adjusting client portfolios to try to hedge the risk of a market pullback like the one investors experienced at the end of last year. "We're...

Three Wells Fargo reps managing $240 million go indie with Raymond James

April 10, 2019

Three advisers who managed $240 million at Wells Fargo Advisors in Corpus Christi, Texas, have left the firm and affiliated with the independent unit of Raymond James, where they will operate as Coastal Bend Wealth Partners. Bruce Hoffman, Michelle...

How important is financing for selling advisers? Very

April 8, 2019

Historically, a significant majority of independent and registered investment advisers have exited the industry without experiencing a liquidity event at retirement. Restrictive financing options may be to blame. The introduction of Small Business...

Alternative strategies earn their keep over six months of market extremes

April 3, 2019

It has been at least five years since Dick Pfister can recall a six-month period that has been so favorable to alternative investment strategies. Mr Pfister, founder and president of AlphaCore Capital, a firm that allocates between 15% and 30%...

How mid-cap growth funds owned the first quarter

April 2, 2019

The often overlooked and under-allocated mid-cap growth fund category cranked out one of its rare high notes during the first three months of 2019, with an 18.4% return that beat the eight other equity style boxes. Mid-cap growth's performance...

Cerity Partners buys Blue Prairie Group to create $21 billion advisory firm

April 2, 2019

New York-based wealth manager Cerity Partners is taking a big step into the retirement plan space with the acquisition of Blue Prairie Group, which oversees $11 billion in retirement plan assets. The combined company, which will operate as Cerity...

Beacon Pointe acquires Heller Wealth Advisers and $390 million in AUM

April 1, 2019

Beacon Pointe Wealth Advisors, a Newport Beach, Calif.,-based advisory firm with $9 billion in assets under management, has acquired Heller Wealth Advisors, which manages $390 million in assets. (More: Captrust acquires two firms and $2.9 billion...

Schwab moving to subscription fees could be watershed moment for advice industry

March 29, 2019

Charles Schwab's announcement Thursday that it was moving from an assets-under-management fee to a flat monthly charge for its robo adviser sent shock waves throughout the industry. For Gavin Spitzner, president of industry consultant Wealth...

Some mutual fund investors might unwittingly already own shares of Lyft

March 28, 2019

As ride-sharing company Lyft closes in on its initial public offering, financial advisers and investors could be surprised to learn they might already own a piece of the company through a mutual fund. According to Morningstar, there are 36 mutual...

Latest price-war salvo pegs fees to low-risk performance

March 28, 2019

Westwood Holdings Group, a $16.6 billion Dallas-based asset manager, is hoping to catch a ride on the price-war bandwagon with a managed-account fee model that links fees to the risk taken by the portfolio manager. To underscore the lack of...

A tech transition gone wrong

March 28, 2019

Last year, my team and I decided it was time to switch technology vendors. While this can be a stressful transition, we thought we had a solid plan in place. We started with a robust research process, evaluated a number of potential partners,...

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