Registered Investment Advisers (RIA)

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    More advisers simulating SEC exams to expose gaps before regulators come knocking

    More advisers are turning to practice exams to help evaluate compliance risks and identify oversight gaps before the SEC comes knocking.

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    A sure-fire approach to get employees to stay

    Mark Johannessen says firms need to help each staff member grow and feel respected as a professional. Here's how he does it.

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    Texas advisers claim a small victory in tax repeal

    Independent brokers and investment advisers will no longer have to pay a $200 per-person yearly tax.

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    Advisory firm calls for REIT to cut ties with Schorsch firm

    Says New York REIT has too much executive and board overlap with AR Capital.

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    United Capital picks up StanCorp group with $574 million

    After acquiring several investment advisers over the past decade, Stancorp decided to sell its private client group.

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    RIAs join brokers in promoting securities-backed lending

    The practice is growing quickly even beyond wirehouses, but some are concerned about the risks and conflicts of interest.

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    Wells Fargo sues RIA for $1.7 million over raiding

    Firm claims former adviser was a “Trojan horse” funneling business to his new firm, RCM Wealth Advisors, before he joined.

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    Advisers shift away from AUM fees to better serve clients

    NAPFA members debate which pay structures resolve conflicts and other concerns.

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    United Capital pivots away from mutual funds to proprietary asset management program

    Firm sees new way to cut the middleman, product fees for clients while capturing top investment ideas.

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    Industry hurdles hinder entrepreneurial advisers

    Regulatory and legal strictures have made the environment for RIA startups overwhelmingly hostile — not to mention expensive.

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    Former Cetera owner Don Marron returns to the investment advice business

    Industry vet says the future lies in retail, with baby boomers retiring and workers being moved to defined contribution plans away from pensions.

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    State Street gets the cold shoulder from financial advisers

    Breakfast with Benjamin: State Street gets poor marks from financial advisers, despite dedicated efforts to mend fences and build new relationships.

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    Boston RIA hit with $48 million arbitration award

    Clients accused Lee Weiss of recommending an unsuitable investment in a Polish tobacco company.

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    Ken Fisher plans to step down as CEO of firm

    Billionaire behind Fisher Investments has discussed his intentions for years, but succession plan isn't clear.

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    Focus invests in its first Canadian advisory firm

    Focus Financial Partners has taken a stake in an 850 million dollar Canadian ($675 million) asset wealth manager in Montreal, representing its first investment in that country.The firm is partnering with Dorchester Wealth Management, which was founded in 1928 in Montreal and serves Canadian,