Custodians/Fee Only

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N.Y. Advisor Thrives As She Takes Coaching, Subcription Fees To Mass Market

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Shannon McLay's decided early in her career that the size of her clients' bank accounts didn't matter.

Altruist Offers Cash Account Product

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Altruist Cash allows advisors to offer clients an annual percentage yield of 5.10%, the custodian said.

70% Of Advisors Are Considering Changing Platforms

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In a survey of 421 wealth managers, 17% are actively considering alternatives to their current B-D, custodian or bank.

Hightower Counters Ex-Advisor Lawsuit, Says He Stole Company Secrets, Misappropriated Funds

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Hightower says Lars Knudsen was violating his post-sale agreements and creating a hostile work environment.

Hightower Hit With Another Lawsuit From Affiliated Advisor

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Telos Investment alleges Hightower breached its contract and poached its clients to inflate its potential sale price.

Fidelity's Abby Johnson Tightens Grip On Far-Flung Family Empire

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A decade into her reign, Johnson is reasserting control over the fund giant's London outpost. Heads are rolling.

Raymond James Names Shoukry President And Successor CEO To Paul Reilly

by FA Staff

Paul Shoukry, the firm's chief financial officer, will take the CEO reins from Paul Reilly in fiscal 2025.

Large Acquired RIAs Are Losing Clients, Advisors At An Alarming Rate

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Staff turnover has an insidiously harmful effect on advisory firms.

Schwab Execs Say This Election Year Will Be 'Crazy Time' For Investors

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Advisors need to guard against emotional decisions by clients, they said.

Focus To Merge Partner Firms GW & Wade Into The Colony Group

by FA Staff

The deal, which is expected to close in the first quarter, will create a $31.5 billion AUM RIA.

2023 Recruits Add $15.9 Billion To Commonwealth

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The leading financial network rolled out new offerings of every stripe to keep advisors coming.

Fidelity Shuffles Senior Management, Reports 12% Revenue Boost

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Fidelity had $28.2 billion in revenue in 2023, up 12% from $25.2 billion the prior year.

LPL's Wealth Management Chief Avoids Bitcoin-ETF Hype, For Now

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“We just want to see how they work in the markets,” said Rob Pettman, head of LPL's wealth management solutions.

RIAs Lead The Industry In Headcount, Asset Growth, Cerulli Says

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The firm's 2023 report on U.S. advisors also found headcount at wirehouses and independent B-Ds shrank.

Vanguard Spurns Bitcoin ETF, Schwab Dives Right In, While Merrill Evaluates

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Charles Schwab said it will offer trading in bitcoin ETFs across exchanges.

Cambridge Launches $1.1B AUA Independent RIA Platform BridgePort

by FA Staff

Advisors can transfer majority or minority ownership stakes in their businesses to the new firm.

Seven Cambridge Advisors Split To Form Stonepath

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The new Traverse City, Mich., RIA will be a full-service planning and advisory firm.

Industry Groups Predict DOL Rule Will Fail Again In Court

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The agency is merely repackaging its vacated 2016 fiduciary rule, the Financial Services Institute argued.

Mariner Wealth Acquires $360M AUM Sacramento Firm

by FA Staff

Confluence Financial Planning is the 15th location in California for the Overland, Kansas-based firm.

Schwab Self-Directed 401(k) Account Balances Fell 9.2% In Q3

by FA Staff

But the average ending balance of $287,769 represents a 5.3% year-over-year increase.

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