Displaying 4554 results
Tiedemann Group, Alvarium to merge via a SPAC
The two firms will use the SPAC, Cartesian Growth Corp., to form Alvarium Tiedemann Holdings.
Team managing $800 million at BMO joins Crewe Advisors
The deal gives Salt Lake City-based Crewe entry into the Scottdale, Arizona, market.
MAI buys $390 million Maryland-based RIA
Geier Asset Management does business as Winpoint Financial and, like MAI, it specializes in serving professional athletes.
CI Financial sets up US headquarters in Miami
The Toronto-based RIA aggregator is making a bigger commitment to the U.S. wealth management market.
J.P. Morgan cuts off sales charges in 529 plans
The company's decision is in line with overall trends toward fee-based compensation but also hints at the influence of the SEC’s Regulation Best Interest on the 529 plan market.
Focus Financial unit takes stake in $2 billion Connecticut RIA
NorthCoast Asset Management will become part of Cincinnati, Ohio-based Connectus Wealth Advisers.
CI Financial acquires $5.2 billion Portola Partners
The Canadian firm continues to gobble up U.S. wealth managers; its latest deal expands its presence in the San Francisco Bay area.
Cresset nabs J.P. Morgan advisers managing $2 billion
Five advisers from the Denver office of the firm's private bank make a move.
Mariner Wealth Advisors extends PE-backed buying spree
The addition of The Pinnacle Group, a $600 million Ohio-based RIA, marks the fifth deal by Mariner since it partnered with private equity investor Leonard Green & Partners in April.
SEC marketing rule causes advisers most compliance concerns
Even though advisers don’t have to comply with the rule for more than a year, it ranked as the hottest compliance topic, according to a survey; cybersecurity and climate change/ESG were other areas worrying advisers.
Hightower makes sixth deal in 2021
2021 continues to see a surge of buying of RIAs from various kinds of acquirers.
Focus Financial takes stake in $2 billion RIA
Ancora Holdings, the parent of four firms, is based in Cleveland.
Allworth Financial acquires $367 million RIA
A husband-and-wife team runs Novak Financial Planning in Bel Air, Maryland.
Beacon Pointe acquires $500 million Seattle RIA
Rainier Financial Group is the firm's first acquisition in the Pacific Northwest.
Repeat RIA offender charged with fraud
The SEC says Dean Tellone and his California firm hid information from mortgage investors.
The future of the B-D: Death of a salesman?
If you are an adviser, you are either currently with an RIA, thinking about going RIA or know someone who has left a broker to go RIA.
SEC obtains emergency relief to stop $110 million Ponzi scheme
Federal court freezes the assets of Marietta, Georgia, registered investment adviser John Woods.
The sky’s the limit for an adviser dedicated to working with airline pilots
Bob Warner's focus on airline pilots is a model for how niche practices can develop and thrive. His $15 billion RIA has been building relationships with pre-retired pilots for more than two decades.
FPA cancels annual conference in September
Citing a surge in the delta variant, the Financial Planning Association is offering registration refunds and providing advisers with access to free virtual presentations to earn CE credits.
Hightower takes stake in Colorado RIA
Denver-based Investment Security Group manages $800 million.
