Displaying 193 results
Strategist Alan Skrainka joins Krilogy
The former Edward Jones market guru had been with Cornerstone
Hightower takes stake in wealth consultant
Wellspring Associates offers fee-based estate, tax and legacy planning
SEC further extends filing deadline; Finra pushes arb hearings back again
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
Advisers should think twice about taking the SEC up on its ADV filing extension
Firms admitting their business continuity plans didn’t hold up amid the panic caused by the coronavirus is ‘not a good look’
Federal court finds RIA guilty of fraud
The case, brought by the SEC, involved undisclosed compensation
SEC extends Form ADV deadline for advisory firms affected by COVID-19
Registered investment advisers will have 45 extra days to file ADVs, brochure updates
Advisers working from home increases compliance risks
As the coronavirus leads more to work remotely, supervision and the archiving of communications with clients become critical
SEC member: Advertising rule overhaul may be too vague
Commissioner Allison Herren Lee expressed concern the changes would cause compliance uncertainty
Coronavirus cripples travel plans, postpones industry events
Some at-risk employees are being asked to work from home or attend virtual meetings
2 big concerns about selling your practice
In this white-hot M&A market, price is no longer the stand-alone consideration
3 big themes for RIAs in 2020
David Canter of Fidelity talks about where the independent adviser is heading as we embark on a new decade
RIAs bite their nails when deciding to sell the firm
Seventy percent experience anxiety over the decision, HighTower study finds.
Navigating the RIA ecosystem
Firms that maintain open architecture and touch points will endure and grow.
HighTower growth strategy shows no fear of buying high
The $71 billion RIA consolidator acquires its fourth $1-billion-plus firm this year.
Smaller RIAs are selling like hotcakes
Deals during the first nine months of 2019 have already surpassed the total for all of 2018.
Refined Metrics for RIAs: Improving Performance Measurement
Hindsight is 20/20, but it doesn't tell you much about the future.
RIAs acquiring firms at record pace
Fueled by mergers and acquisitions and a bull market, the size of RIAs as measured by AUM has exploded.
Massachusetts fines RIA $225,000 over conflicted advice
Principals of Wellesley firm recommended buying stock of company in which they had an interest.
Independence means different things to different people in wealth management
Some define it as starting their own firm, while others insist it means having full control over investment products and client relationships
Fixed-income solutions for breakaways entering the RIA space
Wirehouse advisers fear that they'll have less access to fixed-income investments in the independent space, but the opposite is true.
