Results for "registered investment advisers (RIA)"

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TD won't compete with RIAs, execs say

February 8, 2019

When TD Ameritrade rolled out its top-level executives Thursday at its annual LINC conference in San Diego, they wasted no time in underscoring the big custodian's commitment to registered investment advisers. "We believe RIAs are the best solution...

Don't be afraid to raise advisory firm fees

February 7, 2019

It's time for financial advisers to get over their fear of raising their fees, and a good place to start would be introducing a minimum annual fee for clients. Eliza De Pardo, a management consultant for TD Ameritrade Institutional, said her...

Hundreds of advisers with tens of billions in assets left Wall Street in 2018

February 6, 2019

Last year was another banner year for brokers and advisers leaving the Wall Street wirehouses and moving to financial advice platforms, where they typically receive higher pay and deal with fewer conflicts of interest when it comes to selling...

Ron Carson to advisers: Tech is your friend and competitor

February 6, 2019

Financial advisers should accept the fact that technology is both a friend and a potential competitor, Ron Carson told the audience at TD Ameritrade's annual conference Wednesday in San Diego. "Look around the room. Are you viewing each other...

RIA firm sales could hinge on succession planning, study finds

January 30, 2019

RIA principals selling their business may get less than top dollar if they don't develop a succession plan. That's the key finding of a survey of 162 registered investment advisory firms of all sizes conducted by Franklin Templeton Investments....

Wells Fargo RIA channel partners with TradePMR

January 29, 2019

Wells Fargo Advisors is souping up it's new channel for registered investment advisers by leveraging the technology expertise of second-tier custodian TradePMR. Wells Fargo's fledgling RIA business model became official earlier this month when...

The RIA space is hot, and brokers are on the move

January 26, 2019

After working for more than 25 years in the securities industry, first as a broker and then as a hybrid adviser, Nathan Bachrach dropped his Financial Industry Regulatory Authority Inc. registration in 2012 and became a fee-only adviser. Mr....

Team managing $650 million at Morgan Stanley goes RIA on Long Island

January 24, 2019

Advisers who worked as the 360 Group and managed $650 million at Morgan Stanley in Great Neck, N.Y., have formed Opal Wealth Advisors, a registered investment adviser with offices in Jericho, N.Y. Both communities are Long Island suburbs of...

Hybrid team managing $350 million joins LPL from Kestra

January 23, 2019

Regal Wealth Advisors, a hybrid firm managing $350 million, has switched its brokerage and advisory affiliations from Kestra Financial to LPL Financial. The firm's four financial advisers — Michael McCarthy, Andrew Pincus, Gregg Gottlieb and...

Forum Financial adds two RIA firms and $378 million in AUM

January 23, 2019

Lamia Financial Group, a registered investment adviser in Thousand Oaks, Calif., managing $281 million in assets, and Vantage Point Advisors, located in Salt Lake City, Utah, and managing $97 million in assets, have joined Forum Financial Management,...

Advisers see more clients seeking second opinions

January 23, 2019

In the latest sign that financial planning is gaining professional status, clients are increasingly seeking second opinions. Some advisers attribute the trend to clients' growing awareness of fiduciary duty, while others say it comes with market...

Raymond James buys Silver Lane Advisors, an investment bank for RIA mergers

January 23, 2019

Raymond James Financial's plan to acquire Silver Lane Advisors is a recognition of the growing merger and acquistion opportunities in the wealth management business. Silver Lane, founded in 2007, is a boutique investment bank specializing in...

Teams managing $338 million leave Wells Fargo for Steward Partners

January 22, 2019

A two-person team managing $200 million in assets and a solo adviser managing $138 million have left Wells Fargo Advisors in Portland, Maine, and joined Steward Partners Investment Advisory. The advisers will open a new office for the hybrid...

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...

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...

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...

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