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Pathstone to acquire $3.5 billion RIA
The acquisition of Dyson Capital Advisors will bring Pathstone’s total assets under advisement to approximately $38 billion.
Link to RIAs is most compelling angle of the KWAC SPAC deal
Broker-dealer aggregator Wentworth's deal to go public via SPAC Kingswood Acquisition Corp. raises a number of questions.
David Canter to exit Fidelity’s RIA custody business
The popular Fidelity exec has been in charge of the firm's registered investment adviser business since 2017, and has worked for Fidelity since 2009.
Wirehouses ready for their ‘Empire Strikes Back’ moment on adviser fintech
Morgan Stanley revealed its fully armed and operational adviser fintech ecosystem at a recent media event in New York City.
Financial advisers turn surprisingly bullish on the second half
Almost 90% of survey respondents believe the stock market can erase most of the losses that occurred during the first half, according to an InspereX survey.
Economic uncertainty has both advisers and clients delaying retirement
Research from Ameriprise also shows that at least a quarter of financial advisers have no succession plan, and 14% expect to leave the business to a buyer.
Risk of dissatisfied advisers taking flight is rising: J.D. Power
Ongoing discontent, worsened by the pandemic and tech shortfalls, has resulted in 15% of wirehouse advisers and 7% of independent advisers being 'at risk' of exiting their firms in the next two years.
Advisers must weigh whether to be first to use testimonials for marketing
An Investment Adviser Association survey shows that for the second year in a row, the SEC advertising rule is the top compliance concern.
Savant Wealth acquires $262 million Virgina-based RIA
Alliant Wealth Advisors' qualified plans division will become a part of Savant’s retirement plan services division.
How financing options can help advisers drive growth
There have been exciting developments in terms of partner firms offering loans and equity options that can provide the capital advisers need to realize their business growth goals.
WA Asset Management acquires $1 billion RIA
The acquisition of BT Wealth Management expands WA Asset's reach into Georgia.
New ETFs only invest at night and aim for dreamy returns
The NightShares strategy involves buying the index at the end of the day and selling it every morning.
It’s not too late to join the liquid alts party, Morningstar says
Key to allocating to funds employing alternative strategies is knowing what to expect and not trying to time investments.
A happenstance focus on wealthy widows
Spuds Powell defies popular thinking with the niche client base he's built, one that he says makes both him and his clients happy.
Advisers finding value in joining smaller firms
Smaller B-Ds and independent RIAs give advisers a platform for more strategic growth as well as a more attentive and supportive environment.
Hybrid merger creates RIA managing $350 million
Oklahoma, Texas firms form Gaddis Premier Wealth Advisors. David Reed will serve as CEO of the new firm.
IAA snapshot portrays a thriving RIA sector
The number of registered investment advisers, the clients they serve and the assets they manage all reached records in 2021, according to the Investment Adviser Association.
Economic uncertainty puts alternative investments front and center
Financial advisers say clients are asking about alternatives to the standard investments in stocks and bonds.
Los Angeles hybrid managing $300 million goes to LPL from MML
Aligne Wealth Advisors Investment Management is headquartered in Century City, California.
The trouble with tech integration
More than half of advisers say the lack of integration between their core applications is the biggest pain point with technology.
