Results for "registered investment advisers (RIA)"

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SEC busts RIA for padding advisory fees by 40%

May 28, 2019

The Securities and Exchange Commission charged North Carolina-based financial adviser Stephen Brandon Anderson with defrauding clients by padding his asset-based advisory fees by at least $367,000 over a two-year period. The SEC order prohibits...

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...

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...

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...

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,...

Dynasty Financial's Procyon Partners recruits $420-million adviser

February 21, 2019

New York-based Procyon Private Wealth Partners has pushed its total assets under management to $3 billion with the addition of veteran adviser James Jeffery, who brings with him $420 million from crosstown competitor Solaris Asset Management....

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...

Dynasty Financial Partners moving headquarters to St. Pete, Fla.

February 19, 2019

Dynasty Financial Partners is moving its headquarters from New York City to St. Petersburg, Fla., in the second quarter, but will continue to maintain a presence in midtown Manhattan and keep its client service locations in Chicago and San Francisco....

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

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...

Largest fee-only RIAs by region, based on assets under management

December 9, 2017

Northeastern success stories Rank Firm Phone/website Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Silvercrest Asset Management Group (212)...

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...

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...

10 wealthiest states for RIAs

June 6, 2017

When it comes to attracting client assets, location matters. InvestmentNews Research took a look at where registered investment advisers had the most client assets under management in 2017. Click through to find out which states have the firms...

Tighter SEC budget likely to keep RIA audits few and far between

March 6, 2017

The SEC's track record of auditing registered investment advisers on average only about once every 10 years isn't likely to change anytime soon. Even though the commission reported a slight uptick in exams last year, to 11% of all RIAs, the...

Median RIA firm had 25% operating margins in 2016: Schwab

July 14, 2017

The median registered investment advisory firm had operating margins of 25% in 2016 and assets under management of $593 million, according to the latest RIA Benchmarking Study from Charles Schwab. Median firm AUM has increased at a 10% five-year...

Lebenthal shutters wealth management group

August 11, 2016

Lebenthal Holdings is closing its small wealth management division, which opened its doors at the start of 2014 but failed to gain traction in the shifting wealth management marketplace. At its peak, Lebenthal Wealth Advisors had five teams...

RIA Rundown: By the Numbers

June 3, 2017

The InvestmentNews RIA Data Center qualified over 1,900 fee-only registered investment advisory firms. For more information, please contact Visit for more-complete profiles and interactive...

Discount pricing could lure more RIAs to outsource asset management

February 23, 2017

As the trend toward outsourced investment management continues to gain traction among financial advisers, simple economics suggests that the cost of that asset management will come down. That's the basic premise and business model being deployed...

Mercer Advisors acquiring its way to national family office status

February 17, 2017

For more than 20 years leading up to the 2008 financial crisis, the Mercer Advisors business model was simple, straight forward and working quite nicely. A strict focus on the lucrative world of dental practice business consulting services provided...

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