Results for "registered investment advisers (RIA)"

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Succession plan success story

March 19, 2019

The story of Benjamin Tobias' succession plan is proof that having a good plan in place can help a firm endure and evolve through even the worst of circumstances. Mr. Tobias, 67, had been grooming two advisers to take over his Plantation, Fla.-based...

5 building blocks to becoming a successful buyer

March 19, 2019

There are more than 12,000 SEC-registered investment advisers in the United States trying to differentiate and grow their businesses across the competitive and fragmented RIA space — a veritable Wild West of firms at the forefront of change....

FPA butts heads with Michael Kitces over $8 million in 'missing' funds

March 18, 2019

The Financial Planning Association was forced into scramble mode Friday after a blog post from Michael Kitces alleged that the FPA was responsible for nearly $8 million worth of "missing" revenue over the past decade. Mr. Kitces, partner and...

SEC promises revised advertising rule soon

March 15, 2019

The Securities and Exchange Commission is on the verge of proposing reforms to rules governing advertising, a regulation that tends to vex investment advisers. Despite the 35-day government shutdown earlier this year, the agency is still on...

Sweeping Ed Butowsky lawsuit takes on 'left-wing media bias'

March 14, 2019

Plano, Texas-based financial adviser Ed Butowsky has filed a sweeping lawsuit against 22 defendants, including lawyers and members of the media, claiming defamation and malicious prosecution related to lawsuits that have been filed against him....

Investment bank launches digital loan platform for advisers

March 14, 2019

An investment banking firm that specializes in the independent adviser market has launched a digital marketplace for banks that want to lend money to advisory firms. (More: Thinking about selling your firm? 5 ways to prepare) Wayzata, Minn.-based...

Advisers see college admissions scandal as tip of the iceberg

March 13, 2019

The college admissions scandal in which dozens of wealthy parents are accused of various forms of cheating and bribery to get their children into elite universities is generally viewed as outrageous but not surprising by the financial planning...

Lipper plans ESG scoring system for mutual funds

March 12, 2019

In the latest acknowledgment by the financial services industry of a more socially conscious investor universe, Lipper plans to roll out a system for grading mutual funds based on social, environmental and corporate governance parameters. The...

SEC says 79 firms will return $125 million to clients as part of clemency program

March 11, 2019

The Securities and Exchange Commission announced Monday that 79 investment firms agreed to return $125 million to clients to whom they had sold inappropriate high-fee mutual funds. The restitution, most of which went to retail investors, is...

Future of advice is wealth planning across the household

March 11, 2019

The next big thing for advisers isn't robo-advice startups or cryptocurrency. It's advisers managing all of a household's financial accounts from banking to investing to insurance, across all life stages, in a single platform. The average investor...

Ed Butowsky, Schwab head to arbitration over $100 million defamation claim

March 8, 2019

A $100 million defamation lawsuit that financial adviser Ed Butowsky filed against Charles Schwab & Co. is headed to arbitration. Mr. Butowsky, managing partner of Chapwood Capital Investment Management, alleged that Schwab defamed him and his...

State securities regulators back Nevada's fiduciary rule proposal

March 7, 2019

While an organization representing state securities regulators focuses on guiding the direction of the U.S. Securities and Exchange Commission's investment advice reform proposal, the group also is supporting a separate Nevada effort to raise...

Financial advisers take issue with Democratic plans to tax the rich

March 5, 2019

As Democratic contenders line up for a chance to take on President Donald J. Trump in the 2020 presidential election, the increasingly populist tone of calls to tax the rich is not lost on the financial planning community. "Those moving further...

Custodians no longer at the center of RIA technology hubs

March 1, 2019

The relationship between custodians, registered investment advisers and technology vendors is evolving. RIAs today are demanding deeper and more robust data on clients so they can provide new services like financial planning, but these advisers...

March 9, 2009: Financial advisers share lessons, scars from rock bottom

February 28, 2019

For those working in the financial services industry 10 years ago, memories of the financial crisis are often bookended by the March 9, 2009 bottom, when the S&P 500 Index halted its 17-month freefall for a 56.8% decline from the Oct. 9, 2007...

Creative Planning makes first acquisition, adding $500 million in AUM

February 26, 2019

Creative Planning Inc., an Overland Park, Kan.-based registered investment adviser managing $38 billion in assets, has acquired The Johnston Group, a Minneapolis-based RIA firm managing $500 million with offices in Minnesota and the Dakotas....

Morningstar study says advisory clients are stuck on investment performance

February 26, 2019

Most investors still measure their financial adviser based on the performance of their portfolio, and most financial advisers know that, even if they think it's a mistake. A new study by Morningstar shows financial advisers have their work cut...

A recession? Financial advisers say it's right around the corner — or not

February 25, 2019

Even though a recent study of business economists shows that more than three-quarters expect the U.S. economy to be in recession by the end of 2021, financial professionals are not nearly in sync on the idea of an economic slowdown. "While the...

All robo, no advice

February 25, 2019

Ryan Neal's recent article calls out the knee-jerk reactions of robo detractors. As a reporter and fintech observer, he's heard more than his share from advisers who, let's be honest, were worried they would be automated out of existence. For...

As volatility rises, United Capital gives advisers crash course in alts, options

February 25, 2019

As volatility surges back into the stock market, United Capital Financial Advisers is arming its troops with more sophisticated hedging strategies, including access to options trading in client portfolios. Building out its investing platform...

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