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Custodians/Fee Only

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Courting Advisors After Covid

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The broker-dealer recruiting wars have put the ball in advisors' court.

Firms Already ‘Self-Correcting' DOL Rollover Rule Violations

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Firms are struggling to ensure all their advisors are in compliance with the fiduciary rule, attorney Fred Reish said.

CFP Board, Charles Schwab Debut Diversity Scholarship

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The CFP Board's Center for Financial Planning has partnered with Schwab Advisor Services and the Charles Schwab Foundation to offer a collaborative scholarship.

RIA Net Organic Revenue Growth Is Practically Nonexistent

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The net organic revenue growth of RIA firms is quite low when you exclude the market's movement.

Novogratz Says Fidelity To Shift Retail To Crypto Soon

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Billionaire Mike Novogratz said the company is looking to shift its retail customers into digital assets.

Bear Markets Offer A Chance For Advisors To Grow, Consultants Say

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Down times are an opportunity for client acquisition and mergers and acquisitions, they say.

Fleming's Rockefeller Aims To Double Number Of Advisor Teams

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The firm's leaders want to expand from 38 to 45 or 50 locations.

Credit Suisse Taps Fixer For CEO In Move Making It Like UBS

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The Swiss financial giant has changed its entire executive team and half its board of directors in the past 18 months.

J.P. Morgan Faces More Client Loss As Another Advisor Leaves

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The asset manager filed a fourth lawsuit to hold onto as much as $800 million in AUM.

When It Make Sense To Tuck In Your RIA

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Growing complexities of running an RIA are transforming industry assumptions about the benefits of having one's own RIA.

2022 RIA Survey & Ranking: Goodbye To All That

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Is this the end of “too much of a good thing” in the RIA space?

The Big Squeeze: Leading Through the Talent Crisis

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It's hard to find talent these days, and our biggest human capital challenge may still be ahead of us.

Fees, Not Fines

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Market fluctuations aren't a punishment for being an investor. They're the admission price.

Ranking The Heavyweights

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Look closely, and you can see what separates the largest firms from the smallest.

Former Fidelity Exec David Canter Joins Bluespring As President

by FA Staff

Canter joins an RIA acquirer that has bought six RIA firms since it was created in 2019.

SEI Adds Gabriel Garcia To Build Out RIA Business

by FA Staff

Garcia has held roles at Pershing, Schwab and E*Trade.

Schwab Fined $187M For Misleading Investors About Robo-Advisor Fees, SEC Says

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The company's robo-advisor clients paid de facto fees because of the program's cash allocations, the agency said.

Schwab's Sonders Sees Needle Pointing 'A Little Bit' Toward Recession

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A combination of headwinds makes the Fed's goal of a soft landing appear doubtful, strategist Liz Ann Sonders said.

65 Incorporated Rolls Out Medicare Planning Software For Advisors

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The software suite has different plan levels to accommodate the needs of small, medium, and large advisory practices.

Number Of Reps, Brokerages Declined In 2021, Finra Finds

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At the same time, revenues and the number of investment advisor firms grew.

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