Results for "registered investment advisers (RIA)"

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How important is financing for selling advisers? Very

April 8, 2019

Historically, a significant majority of independent and registered investment advisers have exited the industry without experiencing a liquidity event at retirement. Restrictive financing options may be to blame. The introduction of Small Business...

RIAs see new competition from Schwab subscription pricing

April 4, 2019

When Charles Schwab announced it would switch to subscription pricing for its robo-adviser, some financial advisers saw new competition for retail assets. For only $30 per month, Schwab Intelligent Portfolios Premium clients will get automated...

Alternative strategies earn their keep over six months of market extremes

April 3, 2019

It has been at least five years since Dick Pfister can recall a six-month period that has been so favorable to alternative investment strategies. Mr Pfister, founder and president of AlphaCore Capital, a firm that allocates between 15% and 30%...

How mid-cap growth funds owned the first quarter

April 2, 2019

The often overlooked and under-allocated mid-cap growth fund category cranked out one of its rare high notes during the first three months of 2019, with an 18.4% return that beat the eight other equity style boxes. Mid-cap growth's performance...

Cerity Partners buys Blue Prairie Group to create $21 billion advisory firm

April 2, 2019

New York-based wealth manager Cerity Partners is taking a big step into the retirement plan space with the acquisition of Blue Prairie Group, which oversees $11 billion in retirement plan assets. The combined company, which will operate as Cerity...

Beacon Pointe acquires Heller Wealth Advisers and $390 million in AUM

April 1, 2019

Beacon Pointe Wealth Advisors, a Newport Beach, Calif.,-based advisory firm with $9 billion in assets under management, has acquired Heller Wealth Advisors, which manages $390 million in assets. (More: Captrust acquires two firms and $2.9 billion...

Schwab moving to subscription fees could be watershed moment for advice industry

March 29, 2019

Charles Schwab's announcement Thursday that it was moving from an assets-under-management fee to a flat monthly charge for its robo adviser sent shock waves throughout the industry. For Gavin Spitzner, president of industry consultant Wealth...

Some mutual fund investors might unwittingly already own shares of Lyft

March 28, 2019

As ride-sharing company Lyft closes in on its initial public offering, financial advisers and investors could be surprised to learn they might already own a piece of the company through a mutual fund. According to Morningstar, there are 36 mutual...

Latest price-war salvo pegs fees to low-risk performance

March 28, 2019

Westwood Holdings Group, a $16.6 billion Dallas-based asset manager, is hoping to catch a ride on the price-war bandwagon with a managed-account fee model that links fees to the risk taken by the portfolio manager. To underscore the lack of...

A tech transition gone wrong

March 28, 2019

Last year, my team and I decided it was time to switch technology vendors. While this can be a stressful transition, we thought we had a solid plan in place. We started with a robust research process, evaluated a number of potential partners,...

Bronfman Rothschild acquisition creates $10 billion RIA

March 26, 2019

Bronfman Rothschild is being acquired by NFP Corp. and will be combined with Sontag Advisory to create a $10 billion registered investment adviser, the companies announced this morning. NFP Corp. describes itself as an insurance broker, consultant...

Client onboarding presents a critical first impression

March 25, 2019

In the financial planning industry there are lots of ways to recruit new clients, but what comes next can make or break a satisfying and lasting relationship. Whether the client is leaving another adviser or working with an adviser for the first...

Merger mania: Why consolidation in the RIA space is about to explode

March 23, 2019

The steady increase in merger and acquisition activity in the registered investment advisory space over the past six years might seem impressive to some, but for industry players like Ron Carson, the party is just getting started. "I used to...

Has the quarterly client newsletter become old news?

March 22, 2019

When it comes to producing client newsletters, financial advisers either love them or hate them. And if they hate them, they usually abandon the idea altogether. "Most newsletters are a joke," said Josh Brown, financial adviser and CEO of Ritholtz...

Succession plan success story

March 19, 2019

The story of Benjamin Tobias' succession plan is proof that having a good plan in place can help a firm endure and evolve through even the worst of circumstances. Mr. Tobias, 67, had been grooming two advisers to take over his Plantation, Fla.-based...

5 building blocks to becoming a successful buyer

March 19, 2019

There are more than 12,000 SEC-registered investment advisers in the United States trying to differentiate and grow their businesses across the competitive and fragmented RIA space — a veritable Wild West of firms at the forefront of change....

FPA butts heads with Michael Kitces over $8 million in 'missing' funds

March 18, 2019

The Financial Planning Association was forced into scramble mode Friday after a blog post from Michael Kitces alleged that the FPA was responsible for nearly $8 million worth of "missing" revenue over the past decade. Mr. Kitces, partner and...

SEC promises revised advertising rule soon

March 15, 2019

The Securities and Exchange Commission is on the verge of proposing reforms to rules governing advertising, a regulation that tends to vex investment advisers. Despite the 35-day government shutdown earlier this year, the agency is still on...

Investment bank launches digital loan platform for advisers

March 14, 2019

An investment banking firm that specializes in the independent adviser market has launched a digital marketplace for banks that want to lend money to advisory firms. (More: Thinking about selling your firm? 5 ways to prepare) Wayzata, Minn.-based...

Sweeping Ed Butowsky lawsuit takes on 'left-wing media bias'

March 14, 2019

Plano, Texas-based financial adviser Ed Butowsky has filed a sweeping lawsuit against 22 defendants, including lawyers and members of the media, claiming defamation and malicious prosecution related to lawsuits that have been filed against him....

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