Results for "registered investment advisers (RIA)"

Displaying 2,996 results

Sort: Date | Relevance

Author:

'Shark Tank' for RIA fintech looking for new investments

September 4, 2019

ScratchWorks, an accelerator for financial technology targeting the independent adviser market, is launching its third annual program to identify innovative startups worthy of investment. Applications are being accepted from entrepreneurs to...

SEC charges advisory firm, executives with defrauding injured NFL players

August 29, 2019

The Securities and Exchange Commission on Thursday charged Cambridge Capital Group Advisors and two former executives with defrauding former professional football players who had joined a class-action lawsuit against the National Football League...

SEC charges Massachusetts RIA with fraud

August 13, 2019

The Securities and Exchange Commission has charged registered investment adviser Richard G. Duncan, of East Longmeadow, Mass., with defrauding two retail clients by persuading them to invest over $300,000 in an apparent scam originating in Turkey....

Dawn Bennett sentenced to 20 years in federal prison

July 31, 2019

Former financial adviser Dawn Bennett was sentenced on Wednesday to 20 years in federal prison for her conviction on 17 federal charges related to a $20 million Ponzi scheme. Ms. Bennett, 56, who formerly operated Bennett Financial Group Services...

Morgan Stanley breakaway team forms $215 million RIA in N.J.

July 3, 2019

QP Wealth Management in Eatontown, N.J. joins the breakaway trend by leaving Morgan Stanley to establish a registered investment adviser with $215 million in client assets. Co-founders James Lloyd, Thomas Leidner and Lisa Heerwagen partnered...

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...

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...

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: 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: 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: 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...

All robo, no advice

February 25, 2019

Ryan Neal's recent article calls out the knee-jerk reactions of robo detractors. As a reporter and fintech observer, he's heard more than his share from advisers who, let's be honest, were worried they would be automated out of existence. For...

Top RIAs view talent and technology as biggest challenges

May 1, 2019

While 41% of top RIA firm executives consider hiring and developing talent to be their biggest challenge, wringing more value from their large technology budget is viewed as the biggest business challenge by 37% of the executives, according...

Biggest RIA gainers

June 9, 2018

Rank 2018 % change 2018 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Breed's Hill Capital 1 Thompson Square, Suite 301 Boston, MA 02129 (617) 580-3440 breedshillcapital.com...

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...

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...

Ed Butowsky, Schwab head to arbitration over $100 million defamation claim

March 8, 2019

A $100 million defamation lawsuit that financial adviser Ed Butowsky filed against Charles Schwab & Co. is headed to arbitration. Mr. Butowsky, managing partner of Chapwood Capital Investment Management, alleged that Schwab defamed him and his...

Taking the plunge and becoming an RIA

October 4, 2017

We have nothing to fear but fear itself. Franklin Roosevelt said that to a troubled nation in the depths of recession many years ago. Although my experience is by no means comparable, when I first decided to "go independent" I felt like the...

Path to Growth: Why RIA firms leverage M&A as a growth strategy

September 19, 2017

Increasingly, Registered Investment Advisory (RIA) firms are expanding strategic goals, responding to rising competitive pressures and building scale by turbo-charging growth through mergers and acquisitions. Organic growth may still be the...

Why RIAs are the future of financial advising

July 31, 2017

For years the Registered Investment Advisor (RIA) model has been growing in prominence. And now forces are converging to fundamentally transform financial advising in the model's favor. Investors are demanding more from the companies they work...

Next Page »

1 | 2 | 3 | 4 | 5 ... 150

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.