Results for "registered investment advisers (RIA)"

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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...

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...

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: 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...

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...

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...

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...

Retirement plan provider sticks with embattled celeb Tony Robbins

May 31, 2019

Self-help guru Tony Robbins, whose business relationship with $38 billion RIA Creative Planning ended last week following a wave of sexual misconduct allegations, is maintaining his affiliation with $1 billion retirement plan provider America's...

Dynasty Financial boosts M&A tools for RIAs using its platform

May 30, 2019

Dynasty Financial Partners said Thursday that it is amplifying its support for registered investment advisers who use Dynasty's platform so they can better compete in the hot RIA mergers and acquisitions market. The new business line and suite...

Jeopardy champion James Holzhauer squares off against aspiring financial planner. Guess what happened?

May 30, 2019

As Jeopardy contestant James Holzhauer closes in on becoming the winningest contestant in the TV show's 35-year history, one aspiring financial planner offers an inside perspective on squaring off against the best player many fans of the show...

Tony Robbins split was in the works for months, RIA now says

May 30, 2019

A week after it was reported that Creative Planning had severed ties with self-help guru Tony Robbins in the wake of a string of sexual misconduct allegations against him, the RIA is now claiming it was in the works for months before those charges...

Bob Oros opens up about HighTower's aggressive growth strategy

May 29, 2019

After Goldman Sachs' agreement this month to purchase United Capital for $750 million, "good vibrations" are spreading across the registered investment adviser industry. And why not? Since summer is almost here, it would be appropriate to cite...

Overlooked fund category is dominating 2019

May 29, 2019

The stock market's volatility over the past several months has generally favored actively managed investment strategies, in a switch from passive strategies' generally stronger performance in recent years. But the biggest surprise so far this...

Sometimes a sale is the best succession plan

May 28, 2019

When Kara Duckworth and her father Michael Duckworth began looking for ways to transition ownership of the advisory firm they launched in 1998, selling the business was not what they had in mind. "We were originally going to do an internal succession...

SEC to tackle thorny topic: How much advice brokers can give without being an adviser

May 28, 2019

When it votes on a final investment advice reform package next week, the Securities and Exchange Commission will revisit an explosive issue: The extent to which brokers can provide advice without having to register as investment advisers. When...

SEC busts RIA for padding advisory fees by 40%

May 28, 2019

The Securities and Exchange Commission charged North Carolina-based financial adviser Stephen Brandon Anderson with defrauding clients by padding his asset-based advisory fees by at least $367,000 over a two-year period. The SEC order prohibits...

Tony Robbins loses role with RIA amid charges of sexual misconduct

May 24, 2019

Self-help guru Tony Robbins is quickly becoming persona non grata across the financial planning industry following recently reported accusations by nine women of sexual misconduct over several decades. Overland Park, Kans.- based Creative Planning,...

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