Dawn Bennett skips the start of her trial on grounds that it's unfair for SEC to use in-house administrative law judges.
The $9B firm is looking to spread its wings even further in Los Angeles, a city its CEO, Rob Francais, says has relatively few independent advisers given its size.
Lightyear Capital-backed Wealth Enhancement agrees to buy HHG & Co., a Connecticut RIA that manages more than $1 billion.
Deal brings two firms together to serve northern Colorado and 25 other states.
Over the past five years, big advisers moves picked up steam toward the end of 2015.
Three big deals this year mark an important inflection point as big investors place major bets on the industry.
New dollars coming from brokerage clients — still the most common route — are shrinking.
You know that international diversification is a wise move. After this week, your clients may need more convincing.
SEC enforcement targets provide good examples of what to avoid in annual updates.
Some highs and lows, swings and misses
Despite having less experience than women, men in the service adviser role, for example, were nearly twice as likely to have been promoted in the past year.
For new RIAs like Christopher Bray of Ariel Capital Advisors, projecting expenses and revenue can be tricky.
Four advisers start Cardan Capital Partners in Denver.
Firms pull the plug after Massachusetts <a href="//www.investmentnews.com/article/20151112/FREE/151119971/massachusetts-galvin-charges-realty-capital-securities-with-proxy"" target=""_blank"" rel="noopener noreferrer">charges RCS Capital with fraudulently rounding up proxy votes</a> to support real estate deals sponsored by AR Capital.
Fix the exam frequency issue before investors are harmed, the reputation of the RIA industry is tarnished and Washington imposes a solution not of our choosing
<i>Breakfast with Benjamin:</i> After the big IRS data breach, few people probably trust the agency regarding data security. Nonetheless, it's offered a checklist of ways to avoid becoming a tax-scam victim.
Curtis Rach and Jud Crary join established practice in Irvine, Calif.
Firms are making more and bigger deals as market growth boosts valuations and fuels activity.
<i>Breakfast with Benjamin</i>: Susan Elizabeth Walker was sentenced to more than seven years in prison for taking over $1 million from clients' accounts.
