RIA News

1 2 3 4 5 6 7 8   [333]

A Big Question For Small Advisors--Why Sell Now?

by

Here are some questions to consider if you are an owner of an RIA with $500 million or less in client assets.

SEC Fines 2 RIAs $400K Over False Boasts About AI Capabilities

by

Delphia (USA) and Global Predictions agreed to pay $400,000 in penalties for the false claims, the agency said.

Merit Buys $542M Viren In Washington State

by

The Spokane, Wash.-based firm specializes in retirement plans, group employee benefits and life and disability insurance.

Three Women Launch RIA With Full-Time Psychologist

by

The Chicago-based firm hopes having a clinical psychologist will help clients deal with difficult situations.

Diversity Should Still Be A Hiring Goal, Financial Execs Say

by

A panel of financial industry professionals said advisors need to get out of their comfort zone when hiring.

Edelman Explains Why The Days Of Advisor Poaching Are Here

by

Mariner's Marty Bicknell also sees advisors missing a huge NextGen opportunity.

UBS CEO Says Catch-Up On U.S. Wealth Market Will Take Time

by

The Zurich-based bank has signaled that the U.S. will be a major plank of its growth strategy.

Is The End Near At The Wirehouses?

by

The headlines, reports and data all seem to indicate that the model is tagged for extinction. But is that really the case?

AssetMark Sees Tech As Key To Success, CEO Says

by

The company is devoting $60 million to its technology budget this year, CEO Michael Kim said.

BlackRock To Buy SpiderRock As Firm Expands Wealth Management

by

The investment firm said the deal will increase its ability to offer tax-efficient investment services.

New RIA Launched By Four Partners From Michaud Capital

by

Crusonia Capital Partners will operate out of the same Denver office as Michaud, according to SEC filings.

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

by

Staff turnover has an insidiously harmful effect on advisory firms.

RIAs Can't Explain How Their AI Works, SEC Official Says

by

Even AI engineers have a problem conveying how the technology works, the regulator said.

Two Advisors Start RIA In Colorado

by

The advisors were previously with CorePath Wealth Partners in Scottsdale, Ariz.

Snowden Lane Recruits Mother-Son Advisor Team

by

The pair will operate as the Lewis-Solomon Group in New York City.

Stress Testing And The Volatility Opportunity

by

Stress testing financial plans can be a very smart way to help ensure that those plans will deliver as promised.

Robertson Stephens Acquires Conn. Firm With $180 Million AUM

by

The deal puts Robertson Stephens Wealth Management over the $5 billion AUM mark.

$6B AUM San Diego Firm Pure Builds Western U.S. Presence With 2 Acquisitions

by

The firm announced the purchases of Symphony Financial Planning and Crestline Capital.

Drucker Wealth Forms RIA To Grow Younger Client Base

by

The New Jersey firm sought control over technology and client engagement in ditching its broker-dealer.

Modern Wealth Buys $1.2 Billion AUM Beltz Ianni

by

The deal gives Modern Wealth more than $3 billion in AUM and puts it in the retirement plan advisory business.

1 2 3 4 5 6 7 8   [333]