Results for "registered investment advisers (RIA)"

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Despite broker protocol mess, advisers still thinking about leaving Wall Street: Schwab study

December 12, 2018

The uncertainty created by large firms pulling out of a brokerage industry agreement that makes it easier for financial advisers to move to a new employer has had little effect on financial advisers' thinking about leaving the brokerage industry,...

Ric Edelman is bullish on bitcoin, calls much of the advice industry ignorant of its potential

December 12, 2018

Ric Edelman believes in the future of cryptocurrencies so much, he is selling his personal investment in Bitwise Investment Management, a creator of cryptocurrency index funds, so as not to have a conflict of interest should he recommend the...

San Francisco advisers cheated low-income housing: City attorney

December 11, 2018

The city of San Francisco has sued two financial advisers, a married couple, after one allegedly lied to obtain an affordable housing condominium in the city almost two decades ago. The lawsuit against Caroline Novak and Igor Lotsvin was filed...

Mercer Advisors notches fifth RIA acquisition in four weeks

December 11, 2018

The shopping spree continues for Mercer Advisors with the acquisition of Bell Wealth Management, an Austin, Texas-based firm with $200 million under management. This marks the fifth announced acquisition in less than four weeks for Mercer, a...

Finra panel awards adviser $1.2 million from defunct broker-dealer

December 10, 2018

A Finra arbitration panel has ruled in favor of adviser Brian Taylor Kirkpatrick in a share-ownership dispute with his former employer Capital Guardian, a now defunct broker-dealer. According to the dispute resolution from the Financial Industry...

Success stories: West

December 8, 2018

Rank Firm Phone/website Total Discretionary Nondiscretionary Employees assets ($M) accounts assets ($M) accounts assets ($M) accounts 1 Hall Capital Partners One Maritime Plaza, 6th Floor San Francisco, CA 94111 (415) 288-0544 hallcapital.com...

Success stories: South

December 8, 2018

Rank Firm Phone/website Total Discretionary Nondiscretionary Employees assets ($M) accounts assets ($M) accounts assets ($M) accounts 1 Jasper Ridge Partners 201 Main Street, Suite 1000 Fort Worth, TX 76102 (817) 333-0027 jasperridge.com $18,374.70...

Success stories: Northeast

December 8, 2018

Rank Firm Phone/website Total Discretionary Nondiscretionary Employees assets ($M) accounts assets ($M) accounts assets ($M) accounts 1 Silvercrest Asset Management Group 1330 Avenue Of The Americas, 38th Floor New York, NY 10019 (212) 649-0600...

Success stories: Midwest

December 8, 2018

Rank Firm Phone/website Total Discretionary Nondiscretionary Employees assets ($M) accounts assets ($M) accounts assets ($M) accounts 1 Moneta Group Investment Advisors 100 South Brentwood, Suite 500 Clayton, MO 63105 (314) 726-2300 monetagroup.com...

Alternative strategies prove their worth as stocks turn bearish

December 7, 2018

As stock market volatility returns in earnest, investors who have waited patiently in alternative investments are starting to reap some of the benefits. Though liquid alternative mutual fund categories have generally been out of favor against...

LPL Financial recruits five advisers from PNC Investments

December 6, 2018

LPL Financial has recruited a five advisers managing $225 million in client assets from PNC Investments. The advisers will align with Bedminster, N.J.-based Gladstone Advisors, and LPL's broker-dealer and corporate registered investment adviser...

Are you serious, Wall Street? A response to the #MeToo 'advice' of men

December 5, 2018

This open letter is a response to a Bloomberg article​ InvestmentNews ran Tuesday about some male Wall Street executives whose concerns about #MeToo accusations have led them to limit the ways in which they work with female colleagues, for...

Bonds are pulling portfolios into negative territory, not stocks

December 5, 2018

The stock market's 3% drop Tuesday provides the latest proof that volatility is back. But the recent gyrations in major stock market indexes doesn't tell the full story of what's happening inside client portfolios. While marquee benchmarks like...

Best the SEC can do or huge step backward? Industry leaders tussle over advice reform

December 5, 2018

The Securities and Exchange Commission's proposal to raise investment advice standards for brokers doesn't represent a big change from current regulations but is about as far as the agency can go right now, the leader of an brokerage trade association...

Market volatility pushes more RIA owners to negotiating table

November 27, 2018

The choppy financial markets might be rattling investors, but for savvy owners of advisory firms the scenario is playing out perfectly because it's driving merger and acquisition activity. Those paying close attention are not surprised that...

Kovitz Investment Group acquires Northern Capital Management

November 26, 2018

Chicago-based registered investment adviser Kovitz Investment Group announced Monday it is acquiring Northern Capital Management, a Madison, Wisc. -based RIA with $544 million under management. The deal, which will close early next year, marks...

Emigrant Bank takes sole ownership of RIA consolidator Fiduciary Network

November 21, 2018

Emigrant Bank is now the sole owner of Fiduciary Network, a Dallas-based consolidator of registered investment advisers. The privately held, family-owned bank completed a deal to acquire the remaining 25% stake it did not already own in Fiduciary...

Embrace innovation to attract next-gen investors

November 19, 2018

Millennials, generally defined as Americans born between 1980 and 2000, make up the largest demographic group among U.S. adults, and they are quickly becoming the wealthiest. Research from Deloitte estimates that the total net worth of this...

They have little tolerance for sexual harassment, but most advice firms lack formal policies

November 17, 2018

As various forms of high-profile sexual harassment and assault charges have dominated news headlines over the past year, the financial advice business has been struggling with how to address an issue that largely has, until recently, been side...

Brown Advisory acquires Signature Family Wealth Advisors

November 16, 2018

Brown Advisory has reached the $67 billion assets under management mark with the acquisition of Signature Family Wealth Advisors, a $4.3 billion family office advisory firm. The deal, which was not preannounced, was completed Thursday, one month...

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