RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
This Week in RIA M&A: Creative Planning Snaps Up $5 Bln-Asset RIA in Virginia
The first week of May brought Overland Park, Kansas-based Creative Planning its largest acquisition by AUM in its history, while CI Financial... Read more »- Goldman Sachs Group Inc. and bond titan Pacific Investment Management Co. have a simple message for Treasuries traders fretting over inflation: Relax.... Read more »
- Hedge funds have accumulated the biggest short position on junk bonds since 2008 in another sign that investors are lining up to... Read more »
- A compliance officer, Mark Munizzi, whom UBS terminated in 2018, won the award after alleging the wirehouse defamed him with the language... Read more »
As companies inch closer to returning to the office, flexibility is key
Financial services companies have generally adopted remote work policies, but as offices reopen, the next issue becomes who is and isn't vaccinated.... Read more »![]()
The group of three advisors, who officially joined Morgan Stanley on Monday, had overseen $2.8 billion in assets, according to a source... Read more »- Senate Republican leader Mitch McConnell ripped President Joe Biden’s plan to end a tax break that lets the richest Americans transfer much... Read more »
- Focus Financial Partners Chief Executive Rudy Adolf forecasts 250-300 deals a year across the industry, well above the 200-plus deals completed annually... Read more »
- The famed self-help guru is linked to a complaint by a pair of investors against their former financial adviser. The post Why... Read more »
- Duo joined RBC in Wellesley on Tuesday after 13 years at Wells, according to BrokerCheck records. Read More The post RBC Hires Wells... Read more »
NEWS
Weekend Reading for Financial Planners (May 8-9)Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with a deep dive into the... Read more »
SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR
The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). With... Read more »
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Bull Markets Don't Last Forever: How Should You Invest?With stock prices so high, what should a prudent investor do now?----- Coast-to-coast representation... Read more »![]()
How the Wealthy Are Planning for Biden’s Tax Increases https://www.nytimes.com/2021/04/30/your-money/biden-taxes-wealthy.html #securitieslawyer----- Coast-to-coast representation of investors and financial professionals - Securities Lawyer... Read more »- Kitces & Carl Ep 59: The Time-Finding Trap – How Do You Find The Time To Get More Time Efficient?
Over the past several years, the ever-expanding technological landscape has given financial advisors a plethora of tools that they can use to... Read more »
BLOGS
What's Happening Today
Updated Hourly RIA News
AssetMark's AUM hits $78.9 billion to overtake SEI's in blowout quarter marred only by loss that traces in part to Charles Goldman cashing out pre-IPO grants upon exit
CEO Natalie Wolfsen starts her tenure with the Concord, Calif. firm on winning note albeit with $8.9 million of red ink and... Read more »- The ageless Kentucky-based advisor and fiduciary advocate is 63, plans to work to 77 and accepts his mortality but he doesn't want... Read more »
- The first week of May brought Overland Park, Kansas-based Creative Planning its largest acquisition by AUM in its history, while CI Financial... Read more »
- Goldman Sachs Group Inc. and bond titan Pacific Investment Management Co. have a simple message for Treasuries traders fretting over inflation: Relax.... Read more »
- The RIA rollup's decelerating growth rate and limited acquisition capital are among an analyst's concerns... Read more »
- Hedge funds have accumulated the biggest short position on junk bonds since 2008 in another sign that investors are lining up to... Read more »
- A compliance officer, Mark Munizzi, whom UBS terminated in 2018, won the award after alleging the wirehouse defamed him with the language... Read more »
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The group of three advisors, who officially joined Morgan Stanley on Monday, had overseen $2.8 billion in assets, according to a source... Read more »Empower Retirement to Offer Integrated Digital Financial Experience
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The offering will integrate multiple financial accounts of an individual into one snapshot. Related StoriesDavid Swensen, Yale Endowment's Pioneer Manager, Dies at 67... Read more »- Senate Republican leader Mitch McConnell ripped President Joe Biden’s plan to end a tax break that lets the richest Americans transfer much... Read more »
NEWS
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