World Investment Advisors Acquires $3.5B Raymond James Team
Wealth Management
JULY 17, 2024
Fresh off a rebrand, World Investment Advisors adds Boston Harbor Wealth Advisors, as it continues to build out its wealth business.
Adviser links: time and space
Abnormal Returns
OCTOBER 21, 2024
(youtube.com) The biz Schwab Advisor Solutions will look to boost revenue, just not through custody fees. riabiz.com) XYPN Planning Network has launched a new registered investment advisor corporate affiliation model, Sapphire. thinkadvisor.com) Advvvisortech Vanilla just raised a new round of capital.
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Schechter Investment Advisors: Long-Term Allocators With Direct Indexing at the Core
Wealth Management
MAY 9, 2024
Aaron Hodari, the chief investment officer at Schechter, provides a peek inside the $3.45 billion RIA’s moderately aggressive model portfolio.
Weekend Reading For Financial Planners (September 21–September 22)
Nerd's Eye View
SEPTEMBER 20, 2024
Further, the survey showed the continued predominance of the AUM fee model amongst state-registered firms (at the same time, more than half of firms said they charge on a fixed-fee or hourly basis, suggesting many firms utilize multiple fee models) and identified the most common areas of regulatory enforcement during the year, with failure to register (..)
An Investment Advisor Takes Another Look at Life Insurance
Wealth Management
NOVEMBER 20, 2024
A sensible move for both the firm and its clients?
Adviser links: picking up the phone
Abnormal Returns
OCTOBER 16, 2023
wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. Podcasts Brendan Frazier talks with Meghaan Lurtz about re-engaging with existing clients. standarddeviationspod.com) M&A Are smaller RIAs at risk because of national, full-service firms?
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Prime Capital Investment Advisors: If It’s Not In Salesforce, It Didn’t Happen
Wealth Management
MAY 9, 2024
CFO Brian Dillbeck explains how deep integration within the CRM of the $24.4 billion AUM firm makes client data easy to access.
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.
Top Strategies for Registered Investment Advisor Marketing
Midstream Marketing
OCTOBER 30, 2024
Introduction In today’s changing finance world, registered investment advisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others. Clients looking for investment advice have many options.
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.
Tales from the Dark Side
The Big Picture
AUGUST 26, 2022
They can’t help themselves, as too much money is up for grabs from syndicate, leveraged loans, underwriting, annuity sales, investment banking, IPOs, wrap accounts, and other forms of financial engineering that have all historically accrued to the benefit of the brokerage firms. First Rule of Running Other Peoples’ Money?
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Thursday links: domain picking
Abnormal Returns
JANUARY 26, 2023
etf.com) Investment grade bonds are having a good start to the year. bloomberg.com) NEA is becoming a registered investment advisor. Markets A look at Vanguard's 10-year equity return forecasts. axios.com) Why luxury watch prices are coming down. morningstar.com) Bubbles often come along with new metrics to justify them.
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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.
Empowering Employee Advisors Who Struggle With Business Development By Narrowing Them Into A Niche
Nerd's Eye View
OCTOBER 14, 2024
Independent Registered Investment Advisors (RIAs) often face significant challenges in attracting advisors who can proactively generate new business. In some situations, a firm's employee advisors may want to bring in new clients but lack the skills, experience, and confidence.
Corporate Transparency Act: What State-Registered Investment Advisors Need To Know
XY Planning Network
DECEMBER 11, 2023
Unless your firm is registered with the SEC, your business is likely subject to the Beneficial Ownership Information (BOI) reporting requirements under the Corporate Transparency Act. This post dives into key details and what you need to know as we head towards 2024 to ensure you’re compliant.
How to invest in real estate with only 500 rupees?
Trade Brains
NOVEMBER 6, 2024
The Indian real estate market, traditionally requiring substantial investments, is evolving with the rise of Real Estate Investment Trusts (REITs). Now even small investors can participate in property investments with minimal capital. Real Estate Investment Trusts (REITs) have revolutionised property investment in India.
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MiB: Shomik Dutta, Overture Ventures
The Big Picture
JANUARY 19, 2024
Dutta discusses why Climate Investing is a for-profit opportunity, and not as it is so often portrayed as “Woke Investing.” ” The 2023 COP results suggest that climate investing will be an enormous global opportunity. The digital investment advisor manages over $40 billion in assets for 800,000 clients.
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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.
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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Prime Capital, Pensionmark Rebrand
Wealth Management
JULY 12, 2024
Effective immediately, Prime Capital Investment Advisors will become Prime Capital Financial, while Pensionmark rebrands to World Investment Advisors, a nod to its parent company.
Investing for Purpose: A Governance Perspective on Mission-Aligned Investment Strategy
Brown Advisory
SEPTEMBER 6, 2022
Investing for Purpose: A Governance Perspective on Mission-Aligned Investment Strategy. Increasingly, investment committee members are exploring mission-aligned investing for the organizations they serve. DEFINING MISSION-ALIGNED INVESTING. Tue, 09/06/2022 - 10:17.
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Buy This, Sell That? Please Don’t…
The Big Picture
APRIL 6, 2023
Here is why: These posts seem to be a bizarre combination of public records scraping and AI; they look like they were designed to generate clicks rather than reflect honest investment recommendations. But as the Chief Investment Officer of RWM, I can assure you that it is utter nonsense. That’s not how we invest capital.
Twenty Years Later, Los Angeles Advisor Returns to SEIA
Wealth Management
DECEMBER 4, 2024
The recent SEIA acquisition brings Canon Price, founder of $300 million AUA RIA Beverly Investment Advisors, back to the firm where she started her career three decades ago.
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.
More Firms to Pay $79M To Settle SEC Off-Channel Communication Charges
Wealth Management
SEPTEMBER 29, 2023
The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1 billion in collective penalties.
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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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Private Credit Sells Funds for Small Investors as Big Ones Balk
Wealth Management
AUGUST 2, 2024
Interval funds are being pitched to registered investment advisors as an easy-to-sell entry into direct lending.
TLT Flow Analysis: A Deep Dive Into Demand for One of 2023’s Most Popular ETFs
Wealth Management
FEBRUARY 7, 2024
Much of these inflows into TLT can be attributed to a combination of ETF model providers and the registered investment advisor community.
Why a Better Investment Return Receipe Really Does Matter
Envision Wealth Planning
AUGUST 8, 2022
Your investment returns aren’t performing as well as you planned. Singing the investment returns blues? So your Morningstar investment rating shows 5 stars, but your actual investment returns only show 1 star? This can be called track record investing. This investment strategy focuses on the past.
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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 (..)
Bluespring Acquires $1.35B Rodgers & Associates
Wealth Management
JULY 31, 2024
based registered investment advisor with over $1.35 Rodgers & Associates Wealth Advisers, a Lancaster, Pa.-based billion in client assets and 25 employees.
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.
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.
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$1B New Jersey Firm Leaves Osaic for LPL Financial
Wealth Management
JULY 24, 2024
Investment Advisors Financial Group sought more autonomy, which led them to the IBD. It’s the latest team to leave Osaic after the firm’s rebranding from Advisor Group.
Goldman Sachs’ Adam Siegler to Lead Firmwide RIA Strategy
Wealth Management
SEPTEMBER 14, 2023
Despite Goldman Sachs’ sale of its Personal Financial Management unit, the Wall Street firm says it’s doubling down on serving registered investment advisors. “We We don’t want to compete with RIAs. But we want to serve RIAs,” said a Goldman Sachs exec.
Weekend Reading For Financial Planners (December 21–22)
Nerd's Eye View
DECEMBER 20, 2024
Senate appears poised to pass legislation that would eliminate the long-established WEP and GPO provisions and increase the Social Security benefits of many state and local workers in the process From there, we have several articles on investment planning: While index funds are often viewed as 'passive' investments, advisors can add value for their (..)
Unlicensed Advisor Sentenced to 6 Years in Prison for $4M Ponzi Scheme
Wealth Management
JANUARY 11, 2023
Charles Richard Burgess will go to prison for more than six years for fleecing investors of more than $4 million, while pretending to be a registered investment advisor.
Mindy Diamond on Independence: Two Perspectives on Private Equity and RIAs
Wealth Management
NOVEMBER 16, 2023
Mark Copeland, founder of Signature Estate & Investment Advisors and Ben Prigal, vice president of Reverence Capital Partners, discuss the value of partnership between private equity and RIAs.
The Return Of IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog
Nerd's Eye View
JULY 8, 2024
In the meantime, if you (or anyone else you know) wants to join our Team of Nerds, stay tuned for more openings in 2024, including the Managing Editor role (available now!)
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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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An RIA-Friendly Life Insurance Strategy for Retirement Security (Part Two)
Advisor Perspectives
FEBRUARY 26, 2024
In the first installment of this series, I pledged to unveil a retirement strategy with such merit that it warrants widespread adoption by the investment advisor community. Let's delve into the compelling case for this approach.
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Do What You Say You Will and Be Who You Say You Are
NAIFA Advisor Today
FEBRUARY 16, 2024
Glenn Crawford is a Certified Divorce Financial Analyst (CDFA®) and a licensed insurance agent holding a Series 65 Investment Advisor Representative distinction. His mission is to support better financial outcomes for clients by educating, enabling, and empowering them to make sound decisions about their financial well-being.
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Does your family know where you have invested?
Truemind Capital
SEPTEMBER 13, 2024
He had no idea of where the investments were made by his father. The investments were all over the place and he was not even sure if all the assets were accounted for. What you must do : – Do not spread your investments in multiple places. appeared first on Investment Blog. Keep it simple.
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