Registered Investment Advisers (RIA)

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  1. Articles

    Ohio firm's secret – go where the clients are

    Ohio firm Carnegie Investment Counsel's move to the suburbs increased productivity and convenience for clients, according to Gary P. Wagner, a principal of the firm and its chief operating officer.

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    Are PR firms worth the cost?

    Price tags for services vary, and advisers should weigh those against the larger marketing budget.

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    401(k) advice gap presents opportunity for advisers

    Participants want professional retirement-planning advice, but many aren't using it when offered, according to a Schwab study, giving advisers a chance to shine.

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    SEC fines RIA $2.8 million and bars owner in 'Madoff of Main Street' case

    Regulator bars owner of Total Wealth Management, Jacob Cooper, known as 'Main Street Madoff' by former clients, and holds him liable in case where losses are expected to total as much as $44 million.

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    Ron Carson says Monica Lewinsky can teach advisers a thing or two

    The former White House intern will be the keynote speaker at the Peak Advisor Alliance Excell conference this fall.

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    From the C Suite with Baird's CEO Paul Purcell: Incentivize people and give them space to run

    His mother's early death and a critical illness of his own contributed to Mr. Purcell's view of the world and the way he leads his firm's 3,200 professionals.

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    Bronfman E.L. Rothschild acquires Highline to create $3.6B firm

    Bronfman E.L. Rothschild buys Neal Simon's Highline Wealth Management, creating a $3.6 billion firm — the latest example of big consolidations among independent advisers.

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    Is it time to jump into energy stocks?

    Breakfast with Benjamin: If 13 weeks of falling energy-stock prices has you looking for an entry point, hold your fire: The sector is still very pricey.

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    RIAs post record growth: Schwab survey

    Markets and wealthier clients are driving up assets under management and profits.

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    Massachusetts' Galvin to investigate alternative fund sales by advisers

    Sales of 25 top 'liquid alts' mutual funds will come under greater scrutiny from the state regulator.

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    Securities America snags $800 million firm from LPL

    Securities America Inc., a subsidiary of Ladenburg Thalmann Financial Services Inc. with more than 2,000 advisers, has picked up an $800 million registered investment adviser formerly associated with LPL Financial Inc. The firm, BEAM Asset Management, has around 32 advisers and brought in $6.5

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    The toughest job in financial advice: Teaching economics to a presidential contender

    Breakfast with Benjamin: Teaching economics to a presidential contender isn't easy. Unless the economic advisers agree with the preconceived views of the candidates, the relationship can be testy and useless.

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    AMG subsidiary acquires $7 billion RIA focused on high-net-worth clientele

    Philadelphia-based myCIO Wealth Partners is latest deal in year of sky-high valuations for wealth managers.

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    Real estate crowdfunding trend presents new challenges, opportunities for financial advisers

    The proliferation of digital platforms puts added emphasis on due diligence.

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    Judge throws out Camarda case against CFP Board

    U.S. District Judge Richard J. Leon granted a motion for summary judgment and dismissed the controversial lawsuit against the CFP Board filed by Jeffrey and Kimberly Camarda involving use of the fee-only compensation label.