RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
RIA Deal Round-Up: Bicknell’s Mariner to Buy $5.1 Billion-AUM AdvicePeriod
RIA founders Marty Bicknell and Steve Lockshin, longtime friends and frequent co-investors in FinTech ventures, are pairing up their firms to create... Read more »Focus Financial continues expansion into Canada
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Acquisition of Toronto-based Gavin Hockey Wealth Specialists gives Focus Financial another foothold in a market moving toward independence. The post Focus Financial... Read more »- The Brookfield, Wisconsin brokers alleged Merrill was to blame for issues with a proprietary structured note product, which also prompted the 10... Read more »
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Whether inclined to stay or to go, advisers owe it to their clients and themselves to pay attention to the subtle, but... Read more »![]()
Memphis-based Gerber Taylor Capital Advisors oversees $13.8 billion in assets. The post Emigrant Partners takes stake in Tennessee RIA appeared first on... Read more »- Five new hires into J.P. Morgan private bank in New York City include UBS and Citi defectors, and Dynasty Financial Partners’ former... Read more »
- In the realm of personal finance, debt is largely viewed as a necessary evil, one that should be kept to a minimum.... Read more »
- The former broker was suspended one month and fined $2,500 for allegedly misrepresenting in a Covid-19 relief loan application that he operated... Read more »
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Phil Sieg, who took over as Chief Executive of J.P. Morgan Advisors in April, outlined the plan as part of a broad... Read more »- A private banker who sources said may have been responsible for as much as $4 billion in assets is staying in New... Read more »
NEWS
Weekend Reading for Financial Planners (July 24-25)Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with industry buzz that a new... Read more »
YJ Fischer to Join SEC as Director of the Office of International Affairs
The Securities and Exchange Commission today announced the appointment of YJ Fischer as Director of the Office of International Affairs (OIA), effective... Read more »
The Securities and Exchange Commission today announced an emergency action including a temporary restraining order and asset freeze to stop an alleged... Read more »
The Securities and Exchange Commission today announced that it has filed an emergency action charging California resident Charlie Abujudeh with running microcap... Read more »
Da Bear's Perspectives: Will High Rates of Inflation Return?
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Da Bear’s Perspectives By Ron A. Rhoades, JD, CFP® Associate Professor of Finance, Gordon Ford College of Business Director, Personal Financial Planning... Read more »
BLOGS
What's Happening Today
Updated Hourly RIA News
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Empower snags fifth acquisition--Prudential's record-keeping business-- but is still no match for industry leader Fidelity, which is outpacing it on organic growth alone
Empower's $3.4 billion deal ups total assets to $1.4 trillion, a distant second to Fidelity's $3.2 trillion in administered assets.... Read more » - ●
Goldman: What Family Offices Do Differently
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These investors benefit from a lack of defined investing timelines and the absence of outside interference, the survey found. Related Stories10 Biggest Trends... Read more » ![]()
Two professors debate whether a consumer price index for older adults should determine Social Security benefit increases. Related StoriesThe Real Threat of Inflation... Read more »- RIA founders Marty Bicknell and Steve Lockshin, longtime friends and frequent co-investors in FinTech ventures, are pairing up their firms to create... Read more »
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David A. Thomas, who has a Ph.D. in psychology, is president of Morehouse College. Related StoriesJPMorgan Makes Crypto Available to All Wealth Clients:... Read more »![]()
There's an art to sending a message, and an art to handling the results. Related StoriesThe Real Threat of Inflation in Retirement -... Read more »![]()
The firm now allows advisors to take buy and sell orders for five crypto funds, according to Business Insider. Related StoriesCoinbase Hit With... Read more »![]()
Wages are rising and workers are quitting in large numbers because the working-age population is shrinking. Related StoriesIs It Time to Switch to... Read more »![]()
Advisors told us which rules they would get rid of, from RMDs to income limits to Secure Act provisions. Related StoriesCoinbase Hit With... Read more »![]()
Suit accuses Coinbase insiders of misleading investors about the company's financial health and resiliency. Related StoriesMissouri Supreme Court Backs ACA Medicaid Expansion -... Read more »
NEWS
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