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RIA Industry News from around the Nation

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What's Happening Today

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NEWS

Morgan Stanley Broker with $220-Mln Book Flits to J.P. Morgan in Miami
A Morgan Stanley broker managing $220 million in assets has jumped to J.P. Morgan Advisors in Miami. Torren J. Szuluk,… Read More The... Read more »
Published: July 1, 2022 - 5:33 pm
It’s not too late to join the liquid alts party, Morningstar says
Key to allocating to funds employing alternative strategies is knowing what to expect and not trying to time investments.... Read more »
Published: July 1, 2022 - 4:12 pm
Price Check: RIA Aggregator Stocks Sinking Faster Than The Market at Midyear
Stock prices for CI Financial and Focus Financial Partners are down 50% and 44% year to date, respectively, while the S&P 500... Read more »
Published: July 1, 2022 - 4:02 pm
Fired D.E. Shaw Fund Manager Michalow Wins $52 Million From Firm
Daniel Michalow, the veteran fund manager fired by D.E. Shaw & Co. in 2018, won $52.1 million Wednesday from the firm, likely... Read more »
Published: June 30, 2022 - 8:48 pm
Wells Fargo FiNet Pulls in $5-Mln UBS Team in New Hampshire
Three-advisor Manchester, New Hampshire team led by 24-year veteran Doug Frizzell joined Wells Fargo’s independent channel from UBS. Read More The post Wells... Read more »
Published: June 30, 2022 - 6:57 pm
Finra Raps Ex-Morgan Stanley Broker Who Said Deceased Client Had Authorized Distributions
The Financial Industry Regulatory Authority showed little sympathy for a 36-year industry veteran in Michigan who it alleged falsely identified… Read More The... Read more »
Published: June 30, 2022 - 3:22 pm
Citigroup’s Family Office Clients Are Seizing on the Market’s Wild Swings
Family offices with at least $1 billion in assets are boosting their investments amid market swings fueled by recent geopolitical and macroeconomic... Read more »
Published: June 29, 2022 - 10:10 pm
UBS to Pay $25 Million For Fraud Tied to ‘YES’ Options Strategy: SEC
The penalty includes a $17.4 million fine that will be paid to harmed investors, disgorgement of $5.8 million and interest of $1.4... Read more »
Published: June 29, 2022 - 9:46 pm
Merrill Names Wells Fargo Manager to Run East Bay Market in CA
In the latest in a series of field management shifts, Merrill Lynch has pulled from Wells Fargo Advisors a new… Read More The... Read more »
Published: June 29, 2022 - 6:38 pm
A happenstance focus on wealthy widows
Spuds Powell defies popular thinking with the niche client base he's built, one that he says makes both him and his clients... Read more »
Published: June 29, 2022 - 6:21 pm
Report Finds No Evidence of Side Deal Between Finra and Wirehouse Lawyer
An outside law firm that the regulator hired to review allegations about improprieties in the arbitrator selection process found no wrongdoing but... Read more »
Published: June 29, 2022 - 4:46 pm
All-Over-Map Valuation Models Thwart Unified Stock-Market Thesis
(Bloomberg) -- Scarily expensive, or dirt cheap? Cross-currents in the stock market’s $15 trillion wipeout are making it harder than… Read More The... Read more »
Published: June 29, 2022 - 2:33 pm
Advisers finding value in joining smaller firms
Smaller B-Ds and independent RIAs give advisers a platform for more strategic growth as well as a more attentive and supportive environment.... Read more »
Published: June 29, 2022 - 12:28 pm
5 401k Differences To Expect In 5 Years
Do you think five year is too ambitious of a time frame? If so, consider this: five years ago, would you have... Read more »
Published: June 28, 2022 - 4:05 am
Hybrid merger creates RIA managing $350 million
Oklahoma, Texas firms form Gaddis Premier Wealth Advisors. David Reed will serve as CEO of the new firm.... Read more »
Published: June 27, 2022 - 3:50 pm
FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/24/22
Regulatory fireworks, flight delays for fiduciary, and once popular investments getting grilled. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week... Read more »
Published: June 27, 2022 - 4:03 am
IAA snapshot portrays a thriving RIA sector
The number of registered investment advisers, the clients they serve and the assets they manage all reached records in 2021, according to... Read more »
Published: June 23, 2022 - 6:14 pm
Economic uncertainty puts alternative investments front and center
Financial advisers say clients are asking about alternatives to the standard investments in stocks and bonds.... Read more »
Published: June 22, 2022 - 5:39 pm
Los Angeles hybrid managing $300 million goes to LPL from MML
Aligne Wealth Advisors Investment Management is headquartered in Century City, California.... Read more »
Published: June 22, 2022 - 2:53 pm
The trouble with tech integration
More than half of advisers say the lack of integration between their core applications is the biggest pain point with technology.... Read more »
Published: June 21, 2022 - 6:16 pm
Succession plan services gain traction as a tool for recruiting, making acquisitions
With more than $10 trillion seen in motion over the next decade as advisers retire, Cerulli expects acquiring firms to make succession... Read more »
Published: June 21, 2022 - 4:17 pm
Hub acquires $205 million Pennsylvania RIA
Michael Finnell, president of Heritage Wealth Management Group, and the Heritage team will join Hub.... Read more »
Published: June 21, 2022 - 2:32 pm
Why Are 401k PEPs Growing At A Slower Than Expected Rate?
There’s a fear that those rushing to promote their own PEPs are merely trying to return to the bundle service provider environment... Read more »
Published: June 21, 2022 - 4:05 am
A bear market is not the time to hibernate
In the turmoil and economic uncertainty surrounding a bear market, guidance from a trusted financial adviser is more valuable than ever.... Read more »
Published: June 20, 2022 - 12:05 pm
FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/17/22
New regs coming, what's a "fiduciary," and the bigger the ESG, the harder it falls. The post FiduciaryNews.com Trending Topics for ERISA... Read more »
Published: June 20, 2022 - 4:03 am
Tyrone Ross continues to bang the crypto drum with new ventures
The former Onramp exec is more bullish than ever on digital assets, which is why he's launching new businesses to capitalize on... Read more »
Published: June 17, 2022 - 4:56 pm
New LPL program gives advisers more tools to attract, serve the rich
The Private Client Service Network will help select LPL advisers assist their clients with such tasks as the sale of small or... Read more »
Published: June 16, 2022 - 4:38 pm
Anticipating more pain ahead, advisers stress long-term perspective
While the stock market has officially entered a bear market, so far it doesn't feel like March 2009, when the market declined... Read more »
Published: June 15, 2022 - 4:56 pm
Billion-dollar Merrill team goes indie with Sanctuary
The four advisers are setting up shop as SkyPath Private Wealth in Summit, New Jersey.... Read more »
Published: June 14, 2022 - 9:43 pm
AssetMark buys $9.5 billion TAMP business from Vestmark
The deal for Adhesion expands AssetMark’s ability to serve the RIA market.... Read more »
Published: June 14, 2022 - 6:09 pm

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What's Happening Today

Updated Hourly RIA News

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NEWS

Higher Bond Yields Bring 'Income' Back to Fixed Income: WisdomTree's Flanagan
"Unintended consequences" of Fed policy are the biggest risk now, WisdomTree's head of fixed income strategy warns. Related StoriesBond Market Rebound Is Bad... Read more »
Published: July 1, 2022 - 9:34 pm
15 Countries With the Most Billionaires
These countries are home to more than three-quarters of the world's billionaires, according to Altrata. Related Stories10 Ways to Find Business This Summer... Read more »
Published: July 1, 2022 - 9:05 pm
JPMorgan Cuts Economic Growth Forecasts 'Perilously Close' to Recession
The bank reduced its estimate for annualized gross domestic product growth to 1% for the second quarter, down from 2.5% earlier. Related StoriesMorningstar's... Read more »
Published: July 1, 2022 - 8:19 pm
El-Erian Says Receding Liquidity Is Biggest Risk to Markets
He says the Fed's plan will likely slow the economy, raise the chance of a recession and present firms seeking new capital... Read more »
Published: July 1, 2022 - 8:07 pm
Strategist Warns Investors Against Clinging to the Past
U.S. large-cap growth is no longer where the opportunities are, Richard Bernstein Advisors' Dan Suzuki says. Related Stories10 Ways to Find Business This... Read more »
Published: July 1, 2022 - 8:04 pm
Grayscale Investments is suing the SEC to get its ETF approved but bitcoin's swoon means 'public sympathy' may swing in favor of the regulator, a rules lawyer says
The 'hard-pressed' Stamford, Conn., crypto fund manager calls the SEC's rebuff 'capricous' but with cryptocurrencies in freefall, the SEC can say I... Read more »
Published: July 1, 2022 - 7:42 pm
Buyers Still Want Life and Health Brokers: Stacy Kirshner
The Alvarez & Marsal insurance deal specialist says firms with a senior market focus are especially popular. Related Stories10 Cities Where COVID-19 May... Read more »
Published: July 1, 2022 - 7:31 pm
Chief Market Strategist Ryan Detrick Leaves LPL
"I'm just not meant to be institutional," Detrick said on LinkedIn. Related StoriesFirst Republic's Erkan Named Greystone CEO - Enclosure ... Read more »
Published: July 1, 2022 - 7:16 pm
Ex-Broker Pleads Guilty to Bilking More Than 100 Investors
Robert Louis Cirillo also admitted to filing tax returns that failed to report income from the scam, prosecutors said. Related StoriesExpect 'Deeper Dive'... Read more »
Published: July 1, 2022 - 6:59 pm
No, the Stock Market Hasn't Discounted a 2022 Recession: LPL Strategist
Volatility is up but not at "higher panic levels" associated with big sell-offs, Quincy Krosby says. Related StoriesBofA Says Brace for Recession Shock... Read more »
Published: July 1, 2022 - 6:49 pm
Morgan Stanley Broker with $220-Mln Book Flits to J.P. Morgan in Miami
A Morgan Stanley broker managing $220 million in assets has jumped to J.P. Morgan Advisors in Miami. Torren J. Szuluk,… Read More The... Read more »
Published: July 1, 2022 - 5:33 pm
Integrity Marketing Hires Former Transamerica Financial Network Head: Executive Changes
The Transamerica veteran will oversee distribution for an organization with 420,000 agent relationships. Related StoriesBofA Says Brace for Recession Shock After Worst Rout... Read more »
Published: July 1, 2022 - 4:17 pm
Corporate-Owned Life Insurance Can Hold Executive Teams Together: Hector Martinez
The Equitable executive says more small firms now have the structures they need to use COLI-powered deferred comp strategies. Related Stories5 Factors Shaping... Read more »
Published: July 1, 2022 - 4:07 pm
Price Check: RIA Aggregator Stocks Sinking Faster Than The Market at Midyear
Stock prices for CI Financial and Focus Financial Partners are down 50% and 44% year to date, respectively, while the S&P 500... Read more »
Published: July 1, 2022 - 4:02 pm
BofA Says Brace for Recession Shock After Worst Rout in 52 Years
Meanwhile, Goldman Sachs strategists say the risk of a renewed selloff in equities is still high as investors price in just a... Read more »
Published: July 1, 2022 - 3:36 pm
ESG Funds Plan May Create 'Garbage In, Garbage Out' Problem: SEC Roundup
In this episode, ICI President Eric Pan and Paul Hastings partner Ira Kustin discuss the possible unintended consequences of the SEC's ESG... Read more »
Published: July 1, 2022 - 3:17 pm
SEC Marketing Rule Is Hottest Compliance Topic for Second Year: Survey
Cybersecurity is the second biggest concern, while ESG climbed to third, according to an annual IAA compliance survey. Related StoriesExpect 'Deeper Dive' Reg... Read more »
Published: July 1, 2022 - 3:11 pm
9 Questions to Get People Talking and Draw Them Out
Give potential prospects a chance to tell you who they are. Related StoriesWhat Medicare Part A and Part Leave Out: A Medicare Customer... Read more »
Published: July 1, 2022 - 11:18 am
Why the Bipartisan Lankford-Bennet Bill Is Critical to Fixing America's Savings Crisis
A Nationwide executive praises an addition to the EARN Act bill. Related StoriesDividing the Annuity Value Pie - EnclosureRates Hikes and Inflation -... Read more »
Published: July 1, 2022 - 11:17 am
SMArtX rakes in $12 billion of AUM, nets $8.8 billion in six months--thanks to a Morningstar mega-boost-- by selling the novel concept that TAMP assets can be quickly converted to cash on demand
The West Palm Beach, Fla., UMA provider grew about 40% in the six months ended July 29, thanks to a prior deal... Read more »
Published: July 1, 2022 - 3:24 am
Fidelity--late to its own Ethereum party--hires 110 engineers to hurry up launch; it may have avoided both had it not made a 'strange strategic decision,' analyst says
The Boston company pledged to add the second digital token to its crypto custody service by year-end 2021, but 'complexity' stalled the... Read more »
Published: June 30, 2022 - 11:16 pm
S&P 500's Worst First Half Since 1970 Won't Tell You Much About the Second Half
Since 1957, when it had a negative first half, the index experienced a negative second half about half the time, says Anu... Read more »
Published: June 30, 2022 - 10:22 pm
Clients Are Younger, More Diverse and Want an Advisor to Match
Here are some steps the industry can take to build a network of diverse professionals to deliver the right guidance for future... Read more »
Published: June 30, 2022 - 9:10 pm
Bob Doll: Biggest Risk Now Is Weak Earnings
"When there's a lot of red on the screen ... buy a few stocks," the famed prognosticator advises. Related StoriesYour Clients Still Have... Read more »
Published: June 30, 2022 - 8:50 pm
Fired D.E. Shaw Fund Manager Michalow Wins $52 Million From Firm
Daniel Michalow, the veteran fund manager fired by D.E. Shaw & Co. in 2018, won $52.1 million Wednesday from the firm, likely... Read more »
Published: June 30, 2022 - 8:48 pm
Vanguard Sues a Former Top Advisor, Saying He Poached UHNW Clients
Matthew Philip Snipes, who had managed $4.75 billion in assets, violated agreements when he broke away, Vanguard says. Related StoriesExpect 'Deeper Dive' Reg... Read more »
Published: June 30, 2022 - 7:48 pm
Avoiding Nasty Surprises in Roth IRA Conversions: A Case Study
Understanding how MAGI, Medicare and Social Security come together could save this client from a costly mistake. Related StoriesDebate: What If Roth IRAs... Read more »
Published: June 30, 2022 - 7:23 pm
Ric Edelman's Digital Asset Group Offers Course to Flourish Crypto Users: Tech Roundup
Also, Advisor360 enhances its existing beneficiaries capability for advisors. Related StoriesExpect 'Deeper Dive' Reg BI Exams in 2022: FINRA Exec - Enclosure'Mom' Factor... Read more »
Published: June 30, 2022 - 7:17 pm
Wells Fargo FiNet Pulls in $5-Mln UBS Team in New Hampshire
Three-advisor Manchester, New Hampshire team led by 24-year veteran Doug Frizzell joined Wells Fargo’s independent channel from UBS. Read More The post Wells... Read more »
Published: June 30, 2022 - 6:57 pm
Who Benefits From Raising the RMD Age Under Secure Act 2.0?
This and increasing catch-up contributions, another EARN Act provision, would primarily help the wealthy, critics say. Related StoriesDebate: What If Roth IRAs Had... Read more »
Published: June 30, 2022 - 6:46 pm

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