The Investment Adviser Association wants discretionary clients of fiduciaries to be accredited
Its acquisitions of Baldwin & Associates and GreenCourse Financial Advisors will close in the fourth quarter, chair Justin Ferri said
Former head of Pershing Advisor Solutions emerges from brief retirement
Waltham, Massachusetts-based Argent Wealth Management has 11 advisers
Coral Gables Asset Management and its owner, David Coggins, falsified results on a private fund they managed, the agency charges
The volume of RIA transactions have held up during the pandemic
The money went to pay adviser Mark Boucher’s credit card bills, the agency alleges
The North Carolina-based RIA has 32 employees, including 12 advisers
Adjusting to the pandemic, RIAs surveyed by TD Ameritrade say they're communicating with clients more than ever
The pandemic has moved the issue to center stage for leaders of RIAs and multifamily offices
Deal tracker DeVoe expects M&A activity to climb 30% annually for at least five years
The association joins large wealth management firms, like LPL Financial and Schwab, in hosting virtual gatherings during the pandemic
This year's volatility has some near-retirees worried about protecting their assets, and the insurance products are one way of doing that
They urge getting money into the hands of Americans to boost consumer spending
Executives from Carson Group, Creative Planning, Hightower, Sanctuary Wealth and Thrivent say M&A is here to stay
While the industry's efforts are admirable, there is still more that firms can do
The agency says Brendan Ross manipulated data to show higher fund returns
New frequently asked questions tackle account decisions and the use of titles
The RIA consolidator will continue to be "pretty active" in 2020, according to CEO Bob Oros
Hollencrest Capital Management manages about $1.7 billion
