Results for "registered investment advisers (RIA)"

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American College 'doubles down' on retirement income program after high-profile departures

January 18, 2019

The American College of Financial Services is losing the brain trust behind its retirement income designation, RICP, coming on the heels of a shake up in its executive ranks. Jamie Hopkins, formerly director of the college's retirement income...

XY Planning Networks leads charge to help furloughed workers during shutdown

January 18, 2019

As the partial government shutdown entered a record 28th day Friday, some corners of the financial services industry have started stepping forward to help the 800,000 furloughed government workers. Sixty members of the XY Planning Network have...

Garrett Planning Network expanding to India

January 14, 2019

The Garrett Planning Network, which promotes making financial planning available to the masses by charging hourly fees, is slated to launch a version of the network in India early this year. While fee-based advice is just catching on in the...

RIA M&A sets another record in 2018

January 14, 2019

The financial market volatility that picked up in earnest last year was not enough to derail the pace of consolidation among registered investment advisers. Echelon Partners reported Monday that merger and acquisition activity in the RIA space...

LPL affiliate Private Advisor Group launches new plan to attract wirehouse brokers who may want to go RIA

January 10, 2019

LPL Financial's largest affiliate, Private Advisor Group of Morristown, N.J., is launching a new platform its partners believe will give it the ability to attract wirehouse brokers who want to transition to the RIA channnel. Private Advisor...

Envestnet Yodlee executive Anil Arora steps down

January 10, 2019

Anil Arora is stepping down from his role as chief executive of Envestnet Yodlee. Mr. Arora joined Yodlee in 2000, guiding the company from a startup to arguably the biggest name in financial account aggregation. Under Mr. Arora, Yodlee filed...

RIA deals starting to mirror excesses of wirehouse world

January 10, 2019

For those of us who have been in the wealth management industry for many years, the new reality of top advisers fleeing the wirehouses to go independent as opposed to the decades-long wirehouse to wirehouse "prisoner exchange" is as strange...

Government shutdown halts SEC processing of new adviser registrations

January 10, 2019

Financial advisers whose New Year's resolution was to open a registered investment advisory firm are in limbo thanks to the government shutdown. The partial closure of the federal government has curtailed most Securities and Exchange Commission...

Sheryl Garrett steps down as head of Garrett Investment Advisors

January 9, 2019

Sheryl Garrett, founder of the Garrett Planning Network and long-time industry advocate for hourly-fee financial planning, is stepping away from her role as head of Garrett Investment Advisors, an RIA she co-founded in 2011. Ms. Garrett, 56,...

RIAs saw 18% growth in assets and revenues in 2018, TD Ameritrade survey finds

January 8, 2019

Registered investment advisory firms, on average, increased assets and revenues by 18% in 2018, according to an annual survey of RIA sentiment conducted by TD Ameritrade Institutional. The firm cited market volatility and investors' preference...

Advisers help federal employees financially manage the shutdown

January 7, 2019

Federal-employee clients of financial advisers in the national capital area are taking the federal government shutdown in stride, even though they're due to miss their first paychecks this week. Others, however, will struggle without the immediate...

Bob Oros takes over as HighTower CEO

January 7, 2019

HighTower Advisors confirmed on Monday that industry veteran Bob Oros has taken over as CEO of the Chicago-based RIA consolidator. The news, which was originally reported in November, puts Mr. Oros at the head of a $60 billion wealth management...

Twists and turns await anxious advisers as roller-coaster ride continues into 2019

January 5, 2019

The roller-coaster ride of 2018 has financial advisers bracing for uncertainty in the year ahead. Whether talking about the economy, the financial markets, Fed policy or asset allocation, the financial advisory space appears to be hunkering...

Cincinnati deal creates $800 million RIA

January 4, 2019

A Cincinnati, Ohio,-based registered investment adviser managing $500 million in assets, Madison Wealth Managment, has acquired a hometown firm, Greystone Investment Management. Madison, founded in 2000, also has offices in Leesburg, Va., and...

Adviser lobbying groups shake up donation levels to politicians

January 4, 2019

One of the best ways for trade associations representing financial advisers to open doors on Capitol Hill is by contributing to lawmakers' campaigns. Two lobbying groups in the advice industry ramped up political action committee spending during...

Vanguard shutters $1 billion mutual fund

January 3, 2019

The ongoing evaluation and cleanup of the fund lineup at The Vanguard Group is eliminating another large mutual fund from its big mutual fund complex. The $5 trillion asset manager announced Thursday that it will liquidate the Vanguard Convertible...

Market downturn puts spotlight on active management

January 2, 2019

The momentum toward passively managed index investing is expected to lose some steam as the volatility in the financial markets shines fresh light on the benefits of active management. It is as cyclical as the markets themselves, and a lot of...

Focus Financial engineers two year-end acquisitions by its subsidiaries

December 31, 2018

Focus Financial Partners is closing the year with a bang, announcing two acquisitions by its subsidiaries Monday that are expected to close in the first quarter of 2019. The Colony Group, a $6.3 billion firm based in Boston that has been a unit...

Time runs out on bills to ease small broker audits, highlight regulatory impact on small advisers

December 20, 2018

As the clock ticks down on the lame-duck session of Congress, time has run out for legislation that would affect investment small brokers and investment advisers. Although a bill to prevent a partial shutdown of the federal government on Friday...

SEC slaps Ancora Advisers with $100,000 fine for pay-to-play violations

December 19, 2018

The Securities and Exchange Commission on Tuesday censured and slapped a $100,000 fine on Ohio registered investment advisory firm Ancora Advisors for violating industry rules that forbid advisers from contributing to political campaigns of...

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