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 »
- Asset managers, lawyers, consultants, ESG rating agencies, and even the corporate issuers of securities could push for rules that are ultimately not... Read more »
- The state’s regulator brought charges against Schwab over “unethical and deceptive” practices that allegedly allowed an ex-advisor to collect at least $125,000... Read more »
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The Massachusetts Securities Division discovered the alleged illegal activities while investigating a complaint of exploitation of senior citizens. The post Galvin takes... Read more »- Michael Crotty, who joined Morgan Stanley’s Smith Barney predecessor in 2007 and moved to rival UBS earlier this month, agreed to Morgan... Read more »
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The capital to purchase the $4.4B Los Angeles-based RIA came from private equity firm Leonard Green & Partners. The post Mariner Wealth... Read more »![]()
The upstarts will focus on a particular niche of the marketplace they feel is underserved, such as advisers with foreign clients or... Read more »Exclusive Interview: Ron Surz Opines on the ‘Big 3’ and ‘The Next 401k Scandal’
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Why are there two kinds of Target Date Funds and why does that doom this particular group of people saving for retirement... Read more »![]()
Some firms mistakenly trim expenses too aggressively to lower their costs and maximize their earnings to attract buyers. It may seem counterintuitive,... Read more »![]()
One option for advisers starting an RIA is to outsource in one fell swoop such responsibilities as custodial relationships, tech stack design... Read more »![]()
Social Security news, broadening the definition of Fiduciary, and a little bit about a lot of investing topics. The post FiduciaryNews.com Trending... 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 »The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a... Read more »
The Securities and Exchange Commission today announced that Fort Worth, Texas, specialty retailer Tandy Leather Factory Inc. and its former chief executive... Read more »
- Developing A “Good Enough” Mindset To Increase Financial Contentment
In his book The Paradox of Choice: Why Less is More, author Barry Schwartz identifies two personality types: Satisficers, who tend to... Read more »
Top posts from 2021’s second quarter
Check out my top posts from the second quarter! They’re a mix of practical tips on email (#1), writing (#2, #3, #4),... Read more »- #FA Success Ep 238: Breaking Away To Independence For Freedom To Serve Clients The Way You Want, With Margaret Dechant
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Welcome back to the 238th episode of the Financial Advisor Success Podcast! My guest on today's podcast is Margaret Dechant. Margaret is... Read more » ![]()
Da Bear’s Perspectives Volume I, No. 2 —July 14, 2021 By Ron A. Rhoades, JD, CFP® Associate Professor of Finance, Gordon Ford... Read more »The Securities and Exchange Commission today announced charges against Aron Govil of Jacksonville, Florida, for defrauding investors in two companies he controlled,... Read more »
The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset... Read more »
The Securities and Exchange Commission today filed a settled action against UBS Financial Services Inc. for compliance failures relating to sales of... Read more »
- 3 Types Of Focused Marketing Approaches To Accelerate Growth Of Your Firm
In the early days of financial planning, advisors often relied on marketing strategies that were based on a phone book, telephone, and... Read more »
