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Stratos Wealth takes 25% stake in an indie practice
Robert Patti manages $280 million in Marietta, Georgia
Advisers must embrace fintech risks, opportunities to keep up with retailers
A new report from Celent shines light on the trend of traditional retailers like Walmart migrating into the wealth management space.
Advisers flock to RIAs in the new normal
The RIA channel saw a net gain of 1,530 financial advisers in 2021, while the wirehouses had a net loss of 2,065.
How bear markets wreak havoc on succession plans
When the equity markets decline, as they have this year, they take the value of your firm down with them.
SEC promises not to play ‘gotcha’ in early days of new marketing rule
Even with a long runway — the rule became effective last May 4 with an implementation deadline of Nov. 4 — getting ready for the measure has become a top compliance worry for advisers.
SEC examines 16% of RIAs, and it’s not likely to go higher
The size of the agency's examination staff hasn't increased meaningfully in recent years and it can't keep up with the growth in advisers, an official said.
Cambridge Investment Research RIA faces SEC charges of misconduct, conflicts
Cambridge says it is prepared to defend itself against the SEC's allegations.
SEC settles with City National Rochdale over conflicts of interest
The bank's RIA unit will pay $30 million into an SEC fund to be distributed to harmed investors.
Hub International acquires $8.3 billion RIA
Louisville, Kentucky-based Taylor Advisors specializes in serving financial institutions.
Firms overseeing $721 million join AmeriFlex
The addition of Pilkington Financial and Planning Resources in Colorado and Summit Financial in California brings AmeriFlex's total assets under administration to more than $5.6 billion.
Mercer Global acquires $230 million RIA
Acquisition of Benemark expands Mercer’s presence in Northeast.
Tyrone Ross resigns as CEO of Onramp Invest
Co-founder Eric Ervin, who's taking over as CEO, alludes to the 'stresses of dual leadership' in an email to investors.
Creative Planning adds $400 million New York City-based RIA
The Doman Group, which works with athletes and entertainers, marks Creative Planning's first office in Manhattan.
Wealthtech funding had ‘record-shattering’ 2021
The world’s largest firms are betting that new tools from wealthtech providers, ranging from AI to robotic process automation and blockchain systems, can help slash costs while increasing assets.
Have financial adviser, will travel
Jake Northrup caters to upper-income clients who don't subscribe to a 9-to-5, work-till-you're-65 mindset.
NFP acquires $4.6 billion RIA
AFS Advisors is a Suwanee, Georgia-based registered investment adviser.
Financial advisers downplay geopolitical unrest while preparing for the worst
Financial markets are reacting to Russia's invasion of Ukraine, while market watchers dissect the bigger picture.
When building a tech stack, best-in-breed isn’t always best
The RIA Lab panelists offered suggestions on how advisers can navigate the challenges and opportunities of technology integration.
Stratos Wealth increases stake in BWM Financial
The Ohio-based RIA's total ownership share in BWM rises to 33% after its initial investment two years ago.
Merchant takes minority stake in Truvestments
The investment will help Truvestments share its Demogronomics model for investment management and client engagement on a larger scale.
