Displaying 162 results
Battle lines drawn over RIAs taking PPP loans
Critics challenge the morality of fee-based advisers taking government bailout money
UBS team managing $330 million forms RIA
Three advisers form TriaGen Wealth Management in Calabasas, Calif.
Buckingham to acquire $424 million RIA
Founder of RNP Advisory Services has had long-time ties to Buckingham
Should advisers cut fees to help clients during COVID-19?
Some firms are waiving or reducing fees for clients who have been financially affected by the current crisis
Strongest RIAs managed for growth during the financial crisis: TD study
The owners of standout firms took pay cuts, but kept investing in the business
Mariner partners with Dynasty to launch platform for breakaway brokers
Advisers joining the platform will run independent businesses with middle- and back-office support
Creative Planning’s Mallouk challenges industry to protect employees
The RIA pledges no layoffs or pay cuts resulting from economic fallout from COVID-19
RIA consolidation drags during COVID-19
Merger and acquisition activity slowed from the record-level pace of the past several years
SEC reaches $35 million settlement with International Investment Group
Former RIA agrees to pay disgorgement over alleged sales of fake loan assets
Strategist Alan Skrainka joins Krilogy
The former Edward Jones market guru had been with Cornerstone
Hightower takes stake in wealth consultant
Wellspring Associates offers fee-based estate, tax and legacy planning
SEC further extends filing deadline; Finra pushes arb hearings back again
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
Advisers should think twice about taking the SEC up on its ADV filing extension
Firms admitting their business continuity plans didn’t hold up amid the panic caused by the coronavirus is ‘not a good look’
Federal court finds RIA guilty of fraud
The case, brought by the SEC, involved undisclosed compensation
SEC extends Form ADV deadline for advisory firms affected by COVID-19
Registered investment advisers will have 45 extra days to file ADVs, brochure updates
Advisers working from home increases compliance risks
As the coronavirus leads more to work remotely, supervision and the archiving of communications with clients become critical
SEC member: Advertising rule overhaul may be too vague
Commissioner Allison Herren Lee expressed concern the changes would cause compliance uncertainty
Coronavirus cripples travel plans, postpones industry events
Some at-risk employees are being asked to work from home or attend virtual meetings
2 big concerns about selling your practice
In this white-hot M&A market, price is no longer the stand-alone consideration
3 big themes for RIAs in 2020
David Canter of Fidelity talks about where the independent adviser is heading as we embark on a new decade
