Results for "registered investment advisers (RIA)"

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Government shutdown halts SEC processing of new adviser registrations

January 10, 2019

Financial advisers whose New Year's resolution was to open a registered investment advisory firm are in limbo thanks to the government shutdown. The partial closure of the federal government has curtailed most Securities and Exchange Commission...

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...

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: 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...

SEC slaps Ancora Advisers with $100,000 fine for pay-to-play violations

December 19, 2018

The Securities and Exchange Commission on Tuesday censured and slapped a $100,000 fine on Ohio registered investment advisory firm Ancora Advisors for violating industry rules that forbid advisers from contributing to political campaigns of...

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...

Quick change in plans has Bob Oros headed to HighTower

November 14, 2018

Two weeks ago, it was announced that Bob Oros was leaving HD Vest Financial Services after less than two years as its CEO. The company seemed OK with the decision and pleased that he was going to stay on until March as a consultant. How quickly...

TCA by E*Trade lures Edelman Financial Engines with promise of client referrals

November 13, 2018

TCA by E*Trade is claiming to have hit the jackpot with its pending adviser referral program attracting Edelman Financial Engines, one of the nation's largest RIAs. While both the $20 billion custodian and the $200 billion advisory behemoth...

Transaction loans for independent advisers seeking a partial business sale

November 12, 2018

As the succession planning transaction market continues to accelerate, independent financial advisers who are nearing retirement and seek a partial liquidity event as part of their succession plan are realizing that prevailing wealth management...

Schwab makes greater effort to help smaller RIAs

October 26, 2018

Schwab Advisor Services ran the numbers and realized smaller advisory firms can represent a bountiful future for the $1.3 trillion custody business. With that in mind the nation's largest custodian has been ramping up its new Center of Excellence...

Cheap is great; free will usually cost you

October 17, 2018

There is a basic, fundamental foundation upon which all of economics is built: Everything has a cost. The effort to get around this concept is described informally by the phrase "there's no free lunch." What is a free lunch? The notion historically...

Unregistered South Carolina adviser get 6 years in prison for fraud

October 4, 2018

Melvin Wimmer, an unregistered investment adviser in South Carolina who pled guilty to one count of securities fraud in May, was sentenced Tuesday to 75 months in prison. He was also ordered to pay more than $3 million in restitution to clients....

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...

SEC bars Texas adviser for cheating more than 40 investors

September 26, 2018

The Securities and Exchange Commission said on Tuesday it had barred an investment adviser it had earlier charged with lying to dozens of investors in connection with a multi-million-dollar offering fraud. The adviser, Thomas J. Caufield, 59,...

Creative Planning fined for failure to monitor radio ads and its president's personal accounts

September 19, 2018

The Securities and Exchange Commission issued a cease-and-desist order against Creative Planning Inc. for distributing radio advertisements with prohibited client testimonials. According to the Securities and Exchange Commission, the Kansas-based...

Financial adviser pleads guilty in NCAA basketball corruption case

September 5, 2018

A financial adviser involved in a wide-ranging college basketball corruption and bribery scandal pleaded guilty to three charges related to his efforts to bribe coaches who were then supposed to steer student-athletes toward his firm. Last September,...

Live Oak Bank starts its own RIA

September 4, 2018

Live Oak Bank, a 10-year-old bank that specializes in making loans to niche industries, including registered investment advisers, has launched its own RIA. Live Oak Private Wealth, housed on the bank's main campus in Wilmington, N.C., will operate...

The new knights of the roundtable

August 23, 2018

Earlier this spring, we hosted a recruiters roundtable at our offices in Boston for a discussion on the evolution of adviser recruiting. Throughout the event, I thought back to Arthurian legend, which introduced the idea of the roundtable: a...

Proposed SEC advice rule obscures distinctions between two business models

August 20, 2018

These days, owners of RIA firms are asking me why they should be concerned about the Securities and Exchange Commission's recent attempt to change the rules and standards for broker-dealers. While there are many ways the proposed Regulation...

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