Registered Investment Advisers (RIA)

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  1. Articles

    A $525M AUM adviser joins Focus Financial Partners

    Twelve-year-old shop becomes third Georgia-based firm to join the rollup, which has its eyes on the Southeast.

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    State securities regulators put out proposal to protect seniors

    Proposal would clarify brokers' and advisers' responsibilities in cases of suspected elder abuse

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    Merrill loses $3.3 billion private banking team

    A group of advisers formerly in Merrill Lynch's elite private banking and investment group have left the firm to start an independent wealth-management practice.Corient Capital Partners, based in Newport Beach, Calif., was founded by advisers Chris Copps, Gordon Hassenplug, Darren Henderson,

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    Seniors a 'bulls-eye' for scams uncovered by the states

    Advisers can help elderly clients avoid being a target, securities regulator says.

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    Cantor Wealth loses third exec this year

    Just as the two-year-old wealth management venture of Cantor Fitzgerald & Co. has been looking to regroup after a slow recruiting year and the departure of two top executives, a third senior executive has left.

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    Beacon Pointe Wealth scoops up $300 million East Coast firm

    The Newport Beach, Calif.-based firm picks up TPW Financial in Boston to bring its assets to $1.4 billion.

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    Dawn J. Bennett charged by SEC with inflating assets and exaggerating returns

    Agency says Dawn J. Bennett and her firm inflated numbers from at least 2009 to February 2011 to try and lure in clients to new firm.

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    Pimco minus Bill Gross equals outflows

    Breakfast with Benjamin Pimco finds itself in choppy waters without Bill Gross at the helm.

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    Investment manager who bilked $43 million from ex-Red Wings star Sergei Fedorov convicted

    Breakfast with Benjamin: Investment manager Joseph Zada could face 20 years in prison after being convicted for bilking ex-Detroit Red Wings star Sergei Fedorov (pictured) out of $43 million.

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    Voya takes on bigger rivals with new RIA channel

    New platform will let the firm offer affiliation options like those at larger broker-dealers such as LPL and Raymond James.

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    RIA M&A off to roaring start in 2015

    Firms are making more and bigger deals as market growth boosts valuations and fuels activity.

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    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.