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.
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World Investment Advisors Launches Managed Account Platform
Wealth Management
MARCH 25, 2025
The RIA aggregator will offer both in-house and third-party investment strategies on the platform, which will be led by former Vestmark product lead Lauren Yeaton Hunt.
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Book of Secrets on the Month-End Close
Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments
Trending Sources
An Investment Advisor Takes Another Look at Life Insurance
Wealth Management
NOVEMBER 20, 2024
A sensible move for both the firm and its clients?
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.
Equitable Buys Bank Subsidiary Penn Investment Advisors
Wealth Management
AUGUST 19, 2022
The $600 million acquisition advances Equitable’s wealth management growth strategy.
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.
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.
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. This new rule gives a clear guide for advisors to follow.
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.
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.
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 (..)
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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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.
UBS Client Says His Wife Moved In With Their Wealth Advisor. It Got Messy
Wealth Management
MARCH 19, 2025
financial firms: when brokers or investment advisors have personal or intimate relationships with their clients. The drama spotlights an issue that has long bedeviled U.S.
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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.
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.
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.
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.
A Boomer Couple Interviews Investment Advisors
Wealth Management
MARCH 8, 2023
Listening to what they say and watching for how they say it.
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.
Mariner Adds $292B Institutional Consulting Firm
Wealth Management
JANUARY 9, 2025
Cardinal Investment Advisors, an institutional consulting firm, will expand upon Mariner Institutional, a new division seeded last year when the RIA acquired two firms with that focus.
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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.
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.
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.
Pennsylvania Advisor Sentenced To 5 Years For $7M Scheme
Wealth Management
AUGUST 10, 2022
Lee Weiss previously pleaded guilty to investment advisor fraud related to a Ponzi-like scheme involving his firm Family Endowment Partners.
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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Adviser links: success rates
Abnormal Returns
JANUARY 13, 2025
(riabiz.com) The biz A Q&A with Dave Welling CEO of Mercer Advisors about their new equity partner. citywire.com) Mariner Wealth Advisors has purchased institutional consultant Cardinal Investment Advisors. riabiz.com) Advisers Clients are going to assess "success rates" from a Monte Carlo simulation differently.
A Boomer Couple Goes Virtual Window Shopping for Advisors
Wealth Management
MARCH 21, 2023
Key elements of a good investment advisor website.
A Boomer Couple Goes Virtual Window Shopping for Advisors
Wealth Management
MARCH 21, 2023
Key elements of a good investment advisor website.
RIA Roundup: Retirement Plan Biz Brings $5.6B AUM to OneDigital Investment Advisors
Wealth Management
APRIL 14, 2023
OneDigital acquired Huntington National Bank’s 401(k) and retirement plan business this week, while Clearstead Advisors picked up local firm CLS Consulting. The Mather Group and NewEdge Wealth both announced key hires.
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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Two Ohio RIAs Merge, With Merchant Backing
Wealth Management
AUGUST 2, 2022
Beachwood, Ohio–based RIAs MGO Investment Advisors and One Seven have merged, with Merchant Investment Management taking a minority stake in the new entity.
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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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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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 (..)
How to Ensure a Smooth Transition to Your New RIA Firm
XY Planning Network
DECEMBER 9, 2024
If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns. Managing this process effectively is crucial for retaining clients and ensuring compliance.
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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.
Thursday links: domain picking
Abnormal Returns
JANUARY 26, 2023
bloomberg.com) NEA is becoming a registered investment advisor. (wsj.com) Startups Stripe is set to go public in the next twelve months. wsj.com) Startups are pulling out all the stops to avoid down-rounds. axios.com) The downside of using special purpose vehicles.
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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.
Reverence Takes Stake in Hybrid SEIA, As Firm Leaps Into M&A
Wealth Management
AUGUST 17, 2022
The investment will allow Signature Estate & Investment Advisors to move into the M&A space for the first time and expand distribution for its TAMP.
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How to Find a Fee-Only Financial Advisor
Darrow Wealth Management
FEBRUARY 13, 2025
Fee-only firms are unique as they do not receive commissions from selling financial products, such as insurance policies or investment products. Fee-only financial advisors are often registered investment advisors too, meaning they have a legal duty to act in the clients best interest. Independent firm.
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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.
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