Registered Investment Advisers (RIA)

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  1. Articles

    Snowden quietly reaches $1B AUM milestone

    As firm picks up $400 million UBS team, execs say it is fully capitalized and on its way to around 100 advisers in its partnership.

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    Market risk is ignored by invincible investors

    Breakfast with Benjamin: A real risk thanks to the bull market: investors' sense of invincibility, plus El-Erian dishes on Pimco, second-guessing Calpers, and more.

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    Distinguishing financial planner from investment adviser

    Monday's Breakfast with Benjamin Distinguishing financial planner from investment adviser. Plus: Gold looks tarnished, the Russell 2000 heads into 'death cross' territory, buying stocks in a buyback cycle, bank stocks in a rising-rate market, and another tax penalty, courtesy of Obamacare

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    Looking for middle ground in a fiduciary solution

    Problems with one standard for brokers and advisers are voiced at a fiduciary summit.

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    Advisers struggle to make acquisitions work

    In the wake of acquisitions, only about 25% of advisers were “very satisfied” with buying another adviser's book of business, according to a new survey.

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    How much is an RIA acquisition really worth?

    Strong growth and future prospects are just two things that make an RIA acquisition candidate more valuable.

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    RIA industry still waiting for perfect storm to drive M&A activity

    Markets are up and acquirers are on the prowl, but industry consolidation isn't spiking, says Schwab.

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    Is this your resume? Call Ric Edelman.

    Find out what the adviser behind one the largest independent wealth firms is seeking out of a manager.

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    The Fed should raise rates, but it won't

    Breakfast with Benjamin: The Fed should raise rates but... Plus: Financial advisers turn to options investing; the French government calls it quits; the SEC goes after asset-backed bonds; another Obamacare surprise; and what is really the most important meal of the day

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    BofA settlement comes back to bite homeowners

    On today's Breakfast with Benjamin menu: BofA settlement bites homeowners. Plus: Warren Buffett feels compliance pain; a mortgage shop tries financial advice; fewer stocks participating in the bull market run; and stocks that could benefit from the ALS ice-bucket challenge.

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    Hedge funds jumping into Puerto Rico muni bonds

    Today's Breakfast with Benjamin on hedge funds owning $16 billion in Puerto Rican muni bond debt, the scary similarities between advisers and psychics, why deep-water drilling looks like a bargain, and more.

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    Custodians ranked by number of RIA custody clients

    FirmAddressCity, State ZipPhoneWebsiteHead of RIA custody business2014 # of clients% change vs. 20132014 assets under custody% changeMinimum assets of advisersSchwab Advisor Services211 Main St.San Francisco, CA 94105(877) Bernie Clark (executive vice ...

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    Bill Gross disciple takes down the 'Bond King'

    This edition of Breakfast with Benjamin covers Bill Gross getting beaten at his own game, the SEC's focus on liquid alt funds, Obama's attack on corporate inversions, and more.

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    Lawsuit against Financial Engines a red flag for plan sponsors

    Patent infringement claims against Financial Engines means plan sponsors should be vigilant and ready to reassure plan participants.

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    What last week's junk bond selloff means for stocks

    Today's Breakfast with Benjamin looks at the impact of the junk bond selloff, Morningstar's approach to nontraditional bond funds, how higher rates will ripple across the economy, and much more.