Results for "registered investment advisers (RIA)"

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Galvin to propose fiduciary rule for Massachusetts brokers

June 14, 2019

Massachusetts will propose a rule that would mandate brokers and investment advisers apply a fiduciary standard of care in interactions with clients, Secretary of the Commonwealth William Galvin announced Friday afternoon. The Massachusetts...

You don't need to know sign language to work with deaf clients, but it helps

June 14, 2019

James Rooney hadn't planned on carving out a niche working with deaf clients. But nearly 30 years after his first encounter with a deaf client, he has become Morgan Stanley's go-to adviser for this unique community of clients. "If a deaf client...

Reg BI won't stop advisory sector advances over broker-dealers, Pershing's Tibergien says

June 13, 2019

Growth in the investment advisory sector will continue at a rapid pace despite the Securities and Exchange Commission's regulatory changes that are supposed to close the gap in the standard of care between investment advisers and brokers, according...

What does it mean when superstar breakaway brokers bolt again?

June 12, 2019

In 2008, when a group of advisers in charge of $7 billion left Merrill Lynch to set up their own RIA, Luminous Capital Holdings, the financial advice industry was aghast. It was an audacious move, particularly for a team of all-star financial...

Pershing's incoming CEO sees opportunity in high-demand advisory services

June 12, 2019

Pershing's incoming chief executive said Wednesday the custodian is focused on taking advantage of the increasing market for investment advice and helping advisers on its platform expand their businesses with faster technology and richer data....

Does the SEC's new interpretation of the investment adviser standard diminish it? Depends who you ask

June 11, 2019

One of the most controversial parts of the advice reform package the Securities and Exchange Commission approved last week is its interpretation of the standard of conduct for investment advisers. But whether the SEC has diminished the fiduciary...

Dynasty offers forgivable notes to advisers going independent through firm

June 10, 2019

Dynasty Financial Partners has created a borrowing program that allows advisers going independent to pay off a forgivable loan with a portion of their new firm's revenue. Called the Dynasty Freedom Note, the program allows qualified advisers...

Fidelity custody business hooks up with lender to finance RIAs

June 10, 2019

Fidelity Clearing & Custody Solutions has entered into a "strategic alliance" with Merchant Investment Management designed to give its adviser clients preferential access to business loans for acquisitions or financing succession plans, the...

RIA with $15 billion in AUM appoints first female president

June 10, 2019

Wendy Hartman has become the latest example of women making inroads into the C-suites of the financial services industry with her promotion to president of Buckingham Strategic Wealth, an RIA with $15 billion in assets. Ms. Hartman, 44, stepped...

Reg BI limits brokers' use of title 'adviser' or 'advisor'

June 10, 2019

Brokers who are only brokers will have to be less cavalier in describing themselves as financial advisers, thanks to an advice reform package approved last week by the Securities and Exchange Commission. Under Regulation Best Interest, brokers...

As market indicators go, the president trumps everything

June 6, 2019

Whether you like him or not, President Donald J. Trump is having a measurable impact on the financial markets, although maybe not in the ways he expects or would prefer. "Trump has a particular talent for causing wedges, driving markets and...

The future belongs to visionaries. Let's build their tools today

June 6, 2019

If you ask someone in the financial services industry about their goals, chances are good you'll hear that they want to attract more clients, improve their client experience or accelerate their growth. The specifics vary, but most want to get...

RIA makes fiduciary duty its calling card

June 6, 2019

When the founders of AGW Capital Advisors launching a financial advisory firm in April 2009, in the wake of the financial crisis and at the stock market's low point, they decided to embrace the elephant in the room. "When people lose money,...

Why aren't more women advisers making the leap to independence?

June 4, 2019

The wealth management industry seems to have all the markings of being a "natural fit" for women. Women tend to be more nurturing and relationship-driven than their male colleagues. They thrive on their innate abilities to connect and be empathetic...

Superstar advisers with $17 billion in AUM bolt from First Republic

June 3, 2019

A team of All-Star financial advisers who manage $17 billion in assets for wealthy clients has bolted from First Republic Bank's elite wealth management group to set up two RIAs in California. The advisers — David Hou, Mark Sear, Robert Skinner...

Giving employees an ownership stake

June 1, 2019

Coming up with a way to give employees an ownership stake in an advisory firm helps retain and attract top talent and can be the first step in creating a succession plan. Here are steps to take to achieve that goal: • Identify key employees...

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...

RIA rundown 2019: Top fee-only RIAs by state

June 1, 2019

State/top 3 firms # of fee-only RIAs Total assets ($M)/market share Discretionary assets ($M)/ market share Nondiscretionary assets ($M)/market share 1 CA California 357 $271,694.9 $222,410.8 $49,284.1 1 $36,253,881,136.0 Hall Capital Partners...

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: Largest fee-only RIAs

June 1, 2019

Rank 2019 2019 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Hall Capital Partners 1 Maritime Plaza, Sixth Floor San Francisco, CA 94111 (415) 288-0544 hallcapital.com...

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