Displaying 256 results
Radio show adviser reported missing ahead of SEC investigation
Christopher W. Burns allegedly fled the day before he was expected to hand over documents to the regulator
UBS team managing $300 million goes RIA
Patron Partners, led by Stephen Caton and Rick Figueroa, sets up shop in Houston
InvestmentNews Podcast: Big picture look at RIA M&A
Mark Bruno of Echelon provides a detailed look at mergers and acquisitions in the RIA space
Focus Financial takes stake in $1.6 billion RIA
Fairway Wealth Management will become the second Focus firm in Ohio
Wealthspire to acquire $1.5 billion StratWealth
Acquisition of RIA firm will add to footprint in Middle Atlantic states
SEC charges RIA with making false statements about its finances
Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies
On a tear! CI Financial scoops up US RIAs
Kurt MacAlpine, CEO of Canada’s CI Financial, joins Jeff Benjamin and Bruce Kelly to talk about his company’s buying spree
Just say no to annuities, one-third of RIAs say: Survey
More advisers are becoming open to the products, but many still don't like their costs, complexity and lack of liquidity
Buckingham snaps up two more RIAs
Its acquisitions of Baldwin & Associates and GreenCourse Financial Advisors will close in the fourth quarter, chair Justin Ferri said
Hightower takes stake in $1.7 billion RIA
Waltham, Massachusetts-based Argent Wealth Management has 11 advisers
SEC halts fraudulent offering by Florida RIA
Coral Gables Asset Management and its owner, David Coggins, falsified results on a private fund they managed, the agency charges
FP Transitions sees solid M&A activity in second half
The volume of RIA transactions have held up during the pandemic
SEC charges California RIA with stealing more than $2.2 million
The money went to pay adviser Mark Boucher’s credit card bills, the agency alleges
Hightower takes stake in $1.3 billion Stearns Financial
The North Carolina-based RIA has 32 employees, including 12 advisers
Market outlook for next year looks better than Q4, advisers say
Adjusting to the pandemic, RIAs surveyed by TD Ameritrade say they're communicating with clients more than ever
COVID-19 emphasizes importance of succession plans
The pandemic has moved the issue to center stage for leaders of RIAs and multifamily offices
Despite COVID, RIA deals headed for another record year
Deal tracker DeVoe expects M&A activity to climb 30% annually for at least five years
SEC charges head of defunct California RIA with fraud
The agency says Brendan Ross manipulated data to show higher fund returns
Hightower notches fifth deal since March with more to come
The RIA consolidator will continue to be "pretty active" in 2020, according to CEO Bob Oros
Emigrant takes stake in California RIA
Hollencrest Capital Management manages about $1.7 billion
