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Chasing retirement plan prospects with a minority business owner connection
Martin Smith blends his advisory niche with an old-school method of rolling up his sleeves and making lots of cold calls.
Kingswood US hires experienced industry duo to enhance in-house capabilities
The expanded investment banking and capital markets team will focus on three key verticals.
Inflation data fuel markets but economists remain cautious
PCE inflation data is at its lowest level in two years, but is that enough to stop the Fed from raising interest rates?
Concerns percolate about how SEC’s AI proposal aligns with Reg BI
Proposal will be an 'additive regime' that gets layered on, according to lawyer.
Advisors roll with the Fed’s well-telegraphed monetary policy move
The June pause in the rate-hike cycle has introduced the possibility of another pause in September, but most advisors see rates higher for longer.
AdvicePay hires new CEO to succeed Alan Moore
The payment platform brings on fintech veteran Alex Sauickie, who plans to help expand services to banks and broker-dealers.
Ex-UBS wealth chief Tom Naratil joins Lightyear Capital
Naratil, a 39-year veteran of UBS, last fall stepped down from his senior roles at the wirehouse.
Goldman Sachs attracts Creative Planning to its RIA custody business
With $210 billion in AUM, Creative Planning marks one of the largest RIAs to join Goldman's custodian.
Jury’s out as market rejects mega RIAs
IPOs may still be a road to riches for giant aggregators, but critics say hurdles remain.
Top fee-only RIAs in 2023
Here's a list of the biggest fee-only registered investment advisors, based on the data firms report to the SEC on their Form ADV.
ETF strategy designed for night owls gets a wake-up call
NightShares shutters two ETFs that only invest when the market is closed.
RIAs leaned on organic growth to weather 2022, Schwab study shows
In the latest RIA Benchmarking Study, growth supplanted the pursuit of talent as the top priority for most advisory firms.
Investment advisor numbers escalate while ideas for stronger oversight remain stuck
Should the SEC turn to a third-party organization to help it increase the number of exams?
Schwab shuts down offices in five cities, merges more
Large firms like Schwab typically occupy huge offices in prime, and expensive, downtown locations in large cities across the country.
SageView Advisory acquires $5B Retirement Benefits Group
The San Diego institutional retirement plan consulting group RBG also has a growing wealth management business.
FPA rolls out welcome mat for alternative investments
A partnership with the Chartered Alternative Investment Analyst Association will help FPA members educate themselves and their clients about alternatives.
Pathstone tops $100 billion with latest acquisition
The New Jersey-based mega RIA is adding $17 billion by buying Veritable from Affiliated Managers Group.
DFA request for ETF share classes marks tipping point for legacy fund companies
The $614 billion asset manager is applying a full-court press to take advantage of an expired Vanguard patent.
Future of Thrivent Advisor Network in question after Armitage exit
Top exec says firm changed direction as platform posed too much competition for its legacy insurance side.
Financial advisors expect latest inflation data to cool Fed’s jets
With inflation at its lowest level since March 2021, advisors are hoping the Fed can stop raising interest rates.
