Results for "registered investment advisers (RIA)"

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Financial advisers put market volatility in perspective for clients

December 19, 2018

No, Virginia, there is no Santa Claus rally this year, and that has advisers scrambling to calm clients as the financial markets head toward the worst December in 50 years. With the U.S. stock market having dropped into correction territory,...

LPL loses $325M firm to Commonwealth, picks up $400M firm from Cadaret Grant

December 18, 2018

LPL Financial is losing a hybrid advisory firm with $325 million in assets under management to Commonwealth Financial Network, but will make up for it by luring away a $400 million firm from Cadaret Grant. Commonwealth announced Tuesday that...

ETrade launches national adviser referral network

December 18, 2018

ETrade Financial Corp. has launched a national adviser referral network to enhance its financial adviser custodial business. The ETrade Advisor Network, which was cited as a driving force behind the custodial relationship ETrade announced last...

Vanguard combines two strong funds creating a $25 billion large-cap growth portfolio

December 17, 2018

The Vanguard Group, citing efficiencies and lower fees, is combing two big actively managed large-cap growth funds to create one really big fund. By the end of March, investors in the $15.1 billion Vanguard Morgan Growth Fund (VMRAX) will be...

TD Veo platform one step closer to fully digital account opening

December 17, 2018

The latest update to TD Ameritrade Institutional's VEO One technology platform brings the custodian one step closer to offering financial advisers a fully digital and automatic account opening process. New integrations with customer relationship...

Savvy advisers, take a close look at the Roth IRA

December 15, 2018

If there's an​ upside to the slumping financial markets it might be that it provides a fresh opportunity for financial advisers to strut their stuff with a year-end value-add in the form of Roth IRA conversions. For financial advisers who...

Regional broker-dealers quietly making comeback now, but the future remains uncertain

December 15, 2018

The financial advice industry frequently focuses on the rise of registered investment advisers and the independent broker-dealer market when it talks about trends in the business. But quietly making a comeback are regional broker-dealers, firms...

New York adviser pleads guilty to $11.5 million Ponzi scheme

December 14, 2018

The president of a New York-based registered investment adviser pled guilty Thursday in federal court to stealing $11.5 million from investors in a Ponzi scheme, and now faces up to 25 years in prison. Hector May, president of Executive Compensation...

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...

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...

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...

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: 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: 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: 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...

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...

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