Results for "registered investment advisers (RIA)"

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Choppy stock market leads to fewer wirehouse reps fleeing the coop

April 30, 2019

The stock market correction at the end of last year is being credited with putting a damper on breakaway broker activity during the first three months of this year. The latest data from Echelon Partners show that just 94 advisers exited the...

Indianapolis-based RIA managing $575 million affiliates with Ron Carson

April 30, 2019

Spectrum Wealth Management, a registered investment adviser based in Indianapolis, Ind., managing $575 million, is affiliating with Carson Wealth. In a deal Carson calls an "equity swap option," Spectrum will rebrand itself as Carson Wealth...

Hot IPO market has some advisers seeing red

April 29, 2019

With 2019 shaping up to be one of the hottest years for initial public stock offerings since the late 1990s, financial advisers are often finding themselves in the position of disappointing clients who want their blessing to invest in the latest...

Focus on taxes, compensation turns into tech-industry niche

April 26, 2019

Rebecca Conner has found her niche in the financial planning space. Ms. Conner, founder of SeedSafe Financial in Seattle, is developing a bustling enterprise by blending her accounting background with her proximity to the tech industry and focusing...

A near-record quarter for RIA acquisitions

April 26, 2019

The total of 31 acquisitions of registered investment advisers that occurred during the first quarter is just one shy of the record and signals more good news for those advisers looking to sell their firms. "I would call it a blockbuster quarter,"...

TD Ameritrade cut marketing because 'fish weren't biting,' CEO says

April 24, 2019

TD Ameritrade Holding Corp. trimmed digital advertising spending because of a lack of interest from retail investors, according to chief executive Tim Hockey. The online broker and wealth manager keeps a base level of spending and needs to see...

Former adviser testified he gave college football players money to win business later

April 24, 2019

A former financial adviser helping in a government investigation into corruption in college football, testified in a New York federal court that he directed payments to football players from Alabama, Notre Dame, Michigan, Penn State, Pittsburgh,...

When disclosing conflicts of interest, wiggle words like 'may' may not be good enough

April 19, 2019

The Securities and Exchange Commission and journalists have something in common. Both are leery of wiggle words like "may." Editors always prefer that reporters file stories that offer certainty for readers. If they write that something "may"...

Smart money is pouring into fixed income

April 19, 2019

Even with the roaring start to 2019 that has the S&P 500 Index up nearly 16% through Thursday, an increased appetite for fixed-income strategies suggests the emergence of a more conservative mindset among investors. While the first three months...

Adviser fintech moving from the back office to client interactions

April 18, 2019

Adviser technology has historically focused on improving back-office efficiency. That is starting to change. Adviser fintech is increasingly focused on making experiences better for clients, said Dani Fava, director of institutional innovation...

InvestmentNews announces 2019 Innovation Awards winners

April 17, 2019

Six firms received InvestmentNews Innovation Awards Wednesday night for their creative and effective approaches to helping advisers run better businesses, improve client outcomes and tackle other planning industry challenges. The winners were...

'Retire in place' doesn't cut it as a succession plan

April 16, 2019

It has become apparent to me that the succession plan of many older advisers is simply to retire in place. To achieve this, advisers basically stop working full-time, place all (or most) client assets in fee-based accounts, strip out as many...

Thirst for diversification leads more advisers to interval funds

April 16, 2019

With the bull market now a decade old, financial advisers are showing an increased willingness to give up investment liquidity in exchange for strategies that don't move in sync with the broad equity markets. Interval funds, named for their...

Texas adviser managing $341.5 million becomes RIA

April 15, 2019

Robert Harrell II, who managed $341.5 million as an employee broker at Raymond James in Austin, Tex., has given up his securities licenses and opened Harrell Investment Partners, a registered investment advisory. The firm will use Raymond James...

RIA succession plan takes the long view

April 15, 2019

In a financial planning industry constantly chastised for not taking succession planning seriously enough, Michael Chasnoff might be considered an anomaly: He's 12 years into a 22-year succession plan. Mr. Chasnoff, founder and chief executive...

Who benefits the most from non-transparent ETFs?

April 12, 2019

After years of scrambling and determination, it looks like the actively managed mutual fund industry might finally get its wish to manage exchange-traded funds without having to publish daily investing positions like all other ETFs. The question...

RIAs needn't fear the large custodians

April 12, 2019

Editor's note: This story was amended after it was brought to our attention that Ms. Crowther has represented Charles Schwab. As competition continues for financial advisory clients, there may be a tendency for registered investment advisory...

CFP Board's women mentoring program falls short of some expectations

April 11, 2019

When it comes to increasing the ranks of women in the financial planning industry beyond the current level of 15% of all advisers, mentoring has often been viewed as a logical step in the right direction. Unfortunately, as some organizations...

You won't believe how some advisers are hedging market risk

April 11, 2019

As stock market volatility starts creeping higher, some financial advisers are reading the signals and adjusting client portfolios to try to hedge the risk of a market pullback like the one investors experienced at the end of last year. "We're...

Three Wells Fargo reps managing $240 million go indie with Raymond James

April 10, 2019

Three advisers who managed $240 million at Wells Fargo Advisors in Corpus Christi, Texas, have left the firm and affiliated with the independent unit of Raymond James, where they will operate as Coastal Bend Wealth Partners. Bruce Hoffman, Michelle...

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