Custodians/Fee Only

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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.

N.Y. Advisor Team With $200 AUM Joins LPL

by FA Staff

Mark Hills and Uri "Chip" Doolittle V of Manilius, N.Y., were previously with Osaic.

Trade Groups Tell DOL To Withdraw Proposed Fiduciary Rule

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Unions and consumer groups argue rule is needed to weed out costly conflicts.

LPL Adds N.Y.-Area Advisors With $130M AUM

by FA Staff

Oak Tree Financial Group has offices in Connecticut, New York and New Jersey.

$230M AUM N.Y. Advisor Joins LPL From Ameriprise

by FA Staff

Demetrios Paraskevopoulos of Mineola, N.Y. joined LPL to pivot his business towards a more entrepreneurial approach.

TD Cuts Thousands Of Jobs, Takes Restructuring Charge; Earnings Miss

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The layoffs will come through attrition as well as targeted cuts, the bank said.

$170M AUM Advisor Joins Raymond James From Edward Jones

by FA Staff

Cole Wilson joins Stamford, Texas-based Raymond James Financial Services affiliate Decker Capital Partners.

Edelman Financial Engines Acquires $500M AUM Mass. Firm

by FA Staff

PRW Wealth Management marks the fifth transaction for Edelman Financial Engines in 13 months.

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