Displaying 255 results
Canadian buyer gobbles up $4.5 billion RIA, Balasa Dinverno Foltz
CI Financial marks its fifth U.S. deal since February, and it's just getting started
Potential legal pitfalls for advisers selling their firm
You think you're ready to choose a buyer, but there may be important deal elements that have not been addressed
OCM Capital Partners acquires $440 million RIA
Thousand Oaks Financial will become part of One Capital Management, which is a subsidiary of Toronto's CI Financial
Hightower takes stake in Private Vista
The Chicago-area registered investment adviser manages $1.5 billion in assets
Focus firm HoyleCohen to acquire Stellar Capital Management
The acquisition will add $400 million to the AUM of Focus Financial
NASAA study on aging advisers suggests firms consider requiring succession plans
Regulators say older advisory workforce may have issues related to cognitive impairment
SEC charges RIA in $60 million Ponzi-like scheme
David Hu sold fake loans to pay off earlier investors, the SEC alleges
As M&A activity ramps back up, RIAs need to bone up on the details
Independent advisers want to do deals, but many confess they aren't really prepared to do so
Equity-like financing for RIAs that don’t want to surrender equity
All RIAs are different, which underscores the need for diverse sources of funding for these firms
After a choppy start, RIA M&A regains momentum in 2020
More and larger deals suggests the second half could reach record levels
Former RIA execs to pay $200,000 for misleading clients
Benjamin Alderson, the former CEO of deVere USA, also agrees to a permanent bar
All-female team managing $500 million drops Morgan Stanley for Sanctuary Wealth
The advisers are the first breakaway team Sanctuary has picked up from the wirehouse this year
Second Wealth/Stack conference postponed a year
An online version of the event will be held in December
Court orders RIA firm and founder to pay more than $2 million
SEC case charged that Connecticut-based Temenos Advisory put investor money at risk and concealed high commissions
Creative Planning acquires $530 million RIA
Starfire Investment Advisers is based outside Detroit
Mercer acquires $330 million RIA
Founders sell Los Angeles-based Argosy Wealth Management
Kansas City, Missouri, firms merge to form $1.7 billion RIA
RubinBrown and Wealth Management Advisors combine
Creative Planning notches seventh deal of 2020 with $700 million RIA
The purchase of Sunrise Advisors marks the first local acquisition for the Kansas-based firm
After almost a decade of fighting, the SEC and Ray Lucia finally settle
The 'Buckets of Money' adviser can apply to work in the securities industry again
Cresset acquires PagnatoKarp to form Top 25 RIA
The two firms have a combined $9.5 billion in assets under management
