Cybersecurity and the possibility of a market correction are at the top of the worry list for executives of investment advisory firms.
Replaces Bob Oros, who departed in January.
The registered investment adviser faces up to five years in prison, as well as criminal forfeiture and a fine
Letting clients help direct practice management decisions can have many upsides.
Nearly two-thirds (64%) of broker-dealer advisers plan to shift more of their business to a fee-based model if the Department of Labor's fiduciary rule is put into effect, according to a report from Cerulli Associates.
The Kansas-based firm is a super OSJ that provides compliance and marketing support for 11 independent advisory practices
First Ascent Asset Management, which is billing itself as the first flat-fee asset manager, charges just $500 per adviser client.
In a little over three years, Steward has established offices in New Hampshire, New York, Albany, Washington, D.C., and Andover, Mass.
The rule is well past the tipping point, and the industry is forever changed regardless of the rule change.
PE-owned firm makes six deals in 13 months, pushing to $10B AUM
Digital advice platform will be available to more than 1,500 RIAs.
It's all too easy for financial advisers to find themselves unwittingly defined as custodians of their clients' assets.
Though dwarfed in size by their bigger competitors, small custodians serve thousands of loyal RIA clients
For many advisers, whether to charge on cash depends on how much time they are spending managing those assets. .
The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.
CFO4Life left LPL in 2012 to go independent
RIA-industry veteran will replace Roger Ochs at the $37B wealth management firm
