Captrust Reaches $1T in Client Assets
Wealth Management
JULY 30, 2024
The milestone validates Captrust’s business model and growth of the registered investment advisor space.
Prime Capital Investment Advisors Buys Cornerstone Comprehensive Wealth Management
Wealth Management
MARCH 9, 2023
With $400 million in assets, Cornerstone is the 15th acquisition in PCIA history and builds on roughly 500% growth in just five years.
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Prime Capital Investment Advisors Adds Goldman Sachs as Custodian
Wealth Management
MAY 17, 2023
After growing nearly 800% in five years, PCIA plans to move about $1 billion in client assets to Goldman Sachs to improve custodial services and access.
Abry Partners Takes Minority Stake in Prime Capital Investment Advisors
Wealth Management
JULY 12, 2023
Executives say the funding will fuel the next stage of growth for PCIA, which has already expanded assets by some 700% since early 2018.
SEC Freezes Assets of Former Advisor Charged With Stealing $4M From Client
Wealth Management
MARCH 29, 2023
The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.
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Bluespring Acquires $1.35B Rodgers & Associates
Wealth Management
JULY 31, 2024
based registered investment advisor with over $1.35 billion in client assets and 25 employees. Rodgers & Associates Wealth Advisers, a Lancaster, Pa.-based
Osaic Picks Up $360M Midwest Team From Cetera
Wealth Management
MARCH 7, 2024
Cornerstone Advisors, a Baxter, Minn.-based based team with about $360 million in client assets, joins from Cetera Investment Advisors.
Mariner Expands Portfolio Offerings with Latest Acquisition
Wealth Management
AUGUST 2, 2022
Heber Fuger Wendin Investment Advisors, with $8.6 billion in assets, brings to Mariner its client roster of community banks and credit unions.
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Tales from the Dark Side
The Big Picture
AUGUST 26, 2022
Our previous discussions (debates really) were over the traditional model of brokerage I push back against versus the fee-based fiduciary asset management I embrace. This made me chuckle, as we had discussed this level of unsuitable and inappropriate asset management for years, with me offering an endless parade of examples.
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Weekend Reading For Financial Planners (September 21–September 22)
Nerd's Eye View
SEPTEMBER 20, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the North American Securities Administrators Association (NASAA) released the latest edition its annual survey outlining the state of state-registered RIAs, showing that the number of state-registered firms and their assets (..)
Thursday links: domain picking
Abnormal Returns
JANUARY 26, 2023
(bloomberg.com) NEA is becoming a registered investment advisor. investmentnews.com) Why ETFs continue to gobble up new asset classes. axios.com) The downside of using special purpose vehicles. fastcompany.com) Funds Franklin Templeton ($BEN) has been on a deal making tear but it hasn't moved the needle on the stock.
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How to Find a Fiduciary Financial Advisor
Darrow Wealth Management
NOVEMBER 4, 2024
For non-fiduciary financial advisors, recommendations may only need to be suitable , not necessarily in the client’s best interest. Hybrid firms can switch between their status as a registered investment advisor and brokerage, which can be problematic for individuals seeking unbiased financial advice.
Registered Investment Advisors - Turning Autumn Into Assets: Strategies for October’s Bounty
Advisor Perspectives
OCTOBER 6, 2024
For registered investment advisors and others who provide financial advice, autumn is the start of a season loaded with opportunity.
The 60/40 Portfolio is Alive & Well
A Wealth of Common Sense
SEPTEMBER 1, 2023
Rob Isbitts at ETF.com says Jerome Powell’s speech at Jackson Hole is bad news for 60/40 investors: For nearly two decades, investment advisors and self-directed investors came to understand and appreciate “asset allocation” as a complementary combination of stocks and bonds.
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Asset Allocation: Developing a Long-Term Investment Strategy for Mission-Driven Organizations
Brown Advisory
SEPTEMBER 6, 2022
Asset Allocation: Developing a Long-Term Investment Strategy for Mission-Driven Organizations. When putting a plan in place, we believe it is critical for any mission-driven organization to develop an effective, long-term asset allocation strategy to manage its endowment assets. Tue, 09/06/2022 - 10:30. 70–90% vs. 80%).
MiB: Meir Statman on the Intersection of Finance & Life
The Big Picture
AUGUST 9, 2024
Named one of the 25 most influential people by Investment Advisor, his breakthrough book, “ What Investors Really Want , ” changed how we view investor motivations. This week, we speak with Meir Statman , the Glenn Klimek Professor of Finance at Santa Clara University.
MiB: Shomik Dutta, Overture Ventures
The Big Picture
JANUARY 19, 2024
The digital investment advisor manages over $40 billion in assets for 800,000 clients. All of our earlier podcasts on your favorite pod hosts can be found here. Be sure to check out our Masters in Business next week with Sarah Kirshbaum Levy , CEO, Betterment.
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Buy This, Sell That? Please Don’t…
The Big Picture
APRIL 6, 2023
RWM runs over $3 billion in client assets. Ritholtz Wealth Management is a registered investment advisor or RIA. As assets come into the firm, we buy funds for the clients that are in mutual funds, and pro-rata stocks for the clients that use direct indexing. You should always steer clear of these sorts of junk stories.
How to Find a Fee-Only Financial Advisor
Darrow Wealth Management
FEBRUARY 13, 2025
Although some firms use these compensation methods, the majority base fees on a percentage of assets under management (AUM) for their services. Fee-only firms are unique as they do not receive commissions from selling financial products, such as insurance policies or investment products. Independent firm.
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101 Ways Advisors Can Add Value And Attract Their Ideal Clients
Nerd's Eye View
NOVEMBER 28, 2022
Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.
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101 Things That Advisors Actually DO To Add Value (Beyond Just Allocating A Portfolio)
Nerd's Eye View
NOVEMBER 28, 2022
Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.
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Becoming a SEBI Registered Investment Advisor: A Complete Guide
International College of Financial Planning
JUNE 14, 2023
Are you passionate about investments? If so, you can turn your passion into a profession by becoming a SEBI-registered investment advisor. SEBI has introduced guidelines for individuals aspiring to become investment advisors in India. This blog post will provide all the necessary information on this topic.
Stocks in which promoters have increased their stake by up to 32% in Sep Qtr
Trade Brains
OCTOBER 31, 2024
It previously offered asset financing and advisory services. Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. With a market capitalization of Rs. crores, Kothari Industrial Corporation Limited’s share price closed at Rs.
How to Avoid Common Investment Mistakes by Becoming an Investment Advisor?
International College of Financial Planning
JULY 31, 2023
Let’s explore the role of investment advisors in helping individuals avoid these pitfalls and make informed decisions. By becoming an investment advisor, you can assist others in achieving their goals and strengthening your own financial journey. By diversifying investments advisors can help with asset allocation.
Why Your Investment Advisor Should Be Transparent
Mullooly Asset Management
OCTOBER 20, 2022
In this week’s video, Tom references a survey done by AARP that shows 45% of people would rather go to the dentist than meet with an investment advisor. People deserve complete transparency when working with an investment advisor.
Marketing to RIAs: Trends & Growth Insights Uncovered
Midstream Marketing
NOVEMBER 26, 2024
Introduction In the busy world of financial services, asset managers and Registered Investment Advisors (RIAs) require solid marketing strategies to succeed. They need to recognize the special needs and challenges investment advisors face. With targeted marketing efforts, investment advisors can stand out.
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NBFC stocks with high NIIs and low NPAs to keep on your radar
Trade Brains
NOVEMBER 3, 2024
The Indian non-banking financial sector demonstrates remarkable resilience through strong net interest margins and effective asset quality management. Moreover, Bajaj Finance maintains exceptional asset quality with GNPA and NNPA at 1.06% and 0.46% respectively. Please consult your investment advisor before investing.
10 Friday AM Reads
The Big Picture
MARCH 31, 2023
Embattled First Republic Bank is no longer searching for a buyer as investment advisors and company executives seek to repair the company’s balance sheet before any sale might take place, FOX Business has learned. ( trillion asset manager of TIAA. Wall Street Journal ) • First Republic Bank is not currently looking for a buyer.
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Adviser links: hyperbole cycles
Abnormal Returns
MARCH 27, 2023
allaboutyourbenjamins.com) Jack Forehand and Justin Carbonneau talk with Ehren Stanhope of O'Shaughnessy Asset Management about the ins and outs of direct indexing. marknewfield.substack.com) A Q&A with Donna Rasile, Senior VP and Investment Advisor at FinTrust Capital Advisors, about her path through the industry.
An Insight into Investment Advisor Courses and Training Programs
International College of Financial Planning
NOVEMBER 10, 2021
There is great demand for Investment Advisor professionals in India and here we look at the various Investment Advisor Courses and Training Programs that you can take. The demand for Investment Advisors has been constantly rising over the last two decades.
Registered Investment Advisors: Strategies for Growth and Differentiation
Advisor Perspectives
MAY 23, 2024
The promise of independence is luring more and more advisors to the Registered Investment Advisor (RIA) channel. RIA headcount has grown rapidly over the past decade and by 2027, Cerulli estimates that RIAs will control nearly one-third of intermediary asset market share.
What Issues Should I Consider When Reviewing My Investments?
Tobias Financial
MARCH 16, 2025
If you have any questions or would like to discuss your investment approach, were here to help. Tobias Financial Advisors is registered as an investment advisor with the SEC. Lets make sure your strategy continues to support your financial goals!
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Is Asymmetry An Asset Class, If So, Is It Investable?
Random Roger's Retirement Planning
JULY 19, 2022
I'm not sure the precise context of what he meant but in terms of applying the idea to what retail investors and investment advisors could access, the list could include, gold miners with no proven reserves, uranium miners with no proven reserves, a biotech with an unapproved drug with tremendous promise and so on.
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Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor
Brown Advisory
APRIL 20, 2022
Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.
#FA Success Ep 328: Turning Senior Housing Guidance From A Non-Discretionary Value-Add To A Pay-For-Value Service, With Thomas West
Nerd's Eye View
APRIL 11, 2023
Thomas is a Senior Partner for Signature Estate & Investment Advisors, an independent RIA based in Los Angeles, California, that oversees nearly $16 billion in assets under management, with $570 million of those assets being managed by Thomas' practice that serves more than 250 client households.
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Navigating Tariffs: What They Mean for Your Personal Finances
Tobias Financial
MARCH 11, 2025
You want to be in stocks, but you also want to be in bonds, because all of these different assets arent going to act the same when we have these different downturns. By spreading investments across different asset classes and global markets, investors can be better positioned to withstand market turbulence and reduce overall risk.
Register Now for Future Proof 2023!
The Big Picture
MAY 11, 2023
SAVE THE DATE: Future Proof 2023, September 10-13 Future Proof will feature over 100 industry-leading speakers, innovators, and disruptors building the future of wealth management, including: Morgan Housel , Partner, The Collaborative Fund Adam Nash , Co-Founder & CEO, Daffy David Goodman , Producer & Writer, Family Guy, Futurama, The Orville (..)
Donor-Advised Funds: Optimize Your Charitable Giving and Save On Taxes
Cordant Wealth Partners
NOVEMBER 18, 2024
You can donate appreciated assets to your DAF, avoiding capital gains taxes and further lowering your tax bill. The donor receives a tax deduction in the year the contribution is made, and the donated assets continue to grow tax-free in the account until the donor gifts them to the qualified charities of their choice.
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How Advisors Deal With High Net Worth Clients
BlueMind
NOVEMBER 24, 2022
Registered Investment Advisors versus Broker-Dealers The bigger the wealth, the more complicated it is to manage it. Over the recent years, these clients are more inclined to prefer registered investment advisors (RIA) over broker-dealers to manage their affluence, and understandably so. In fact, the 2017 U.S.
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Understanding Custodial Relationships Amidst the Silicon Valley Bank Collapse
Ballast Advisors
MARCH 15, 2023
When working with a Registered Investment Advisor (RIA), investors may have heard the term “custodial relationship.” ” This refers to a partnership between the RIA and a financial institution that acts as the custodian of the client’s investment assets.
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Hinduja group stock falls 19% after reporting 38% QoQ decline in net profit
Trade Brains
OCTOBER 25, 2024
The company is also planning to operate an asset management company (AMC) within 6 to 9 months. The company’s gross non-performance asset ratio has increased to 2.11% as compared to last year’s same quarter, which was 1.93%. The company’s net non-performance asset ratio also decreased from 0.57% in Q2 FY24 to 0.64% in Q2 FY25.
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10 Weekend Reads
The Big Picture
JANUARY 27, 2024
The digital investment advisor manages over $40 billion in assets for 800,000 clients. Because that’s how you capture it all. ( The Athletic ) Be sure to check out our Masters in Business this weekend with Sarah Kirshbaum Levy , CEO, Betterment.
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Digital Assets and Investment Management Liability Insurance
Advisor Perspectives
JULY 16, 2024
Since carriers are still digesting and figuring out how they want to cover DA, investment advisors should focus on working with a broker who understands this space. What was true six months ago, can easily be different now and in further down the road.
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Latest Equity Asset Alocation Views | Weekly Market Commentary | March 13, 2023
James Hendries
MARCH 13, 2023
Instead, we got a shockingly fast collapse of a financial institution with over $200 billion in assets, which turned the market’s focus toward the stability of the banking system and what systemic risks banks might be facing. Investing involves risks including possible loss of principal.
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