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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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 (..)
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.
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.
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.
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.
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.
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.
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.
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.
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.
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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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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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.
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.
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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.
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.
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.
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.
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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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.
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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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 (..)
Register Now for Future Proof 2023!
The Big Picture
MAY 11, 2023
Annie Olszewski , Senior Director, Impact Capital Managers Anthony Scaramucci , Founder and Managing Partner, SkyBridge Capital Ben Cruikshank , President, Flourish Benjamin Felix , Portfolio Manager, Head of Research, PWL Capital Bill Capuzzi , CEO, Apex Fintech Solutions Blair duQuesnay , Investment Advisor, Ritholtz Wealth Management Brett Orvieto (..)
Buy This, Sell That? Please Don’t…
The Big Picture
APRIL 6, 2023
Ritholtz Wealth Management is a registered investment advisor or RIA. .” We may have increased our ownership of Veradigm, but 2 things I know for sure: 1) It is not because of “Growing Potential” and 2) It’s definitely not because — despite a headline declaring so — we are a “Hedge Fund.”
The Return Of IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog
Nerd's Eye View
JULY 8, 2024
Yet the need for advisor education – and the regulatory requirements to get it (in the form of Continuing Education obligations) – never ends, with the latest focus for most financial advisors being on the ongoing expansion of NASAA's 2020 Model Rule that implemented the first Investment Advisor Representative (IAR) requirements to get (..)
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Adviser links: hyperbole cycles
Abnormal Returns
MARCH 27, 2023
marknewfield.substack.com) A Q&A with Donna Rasile, Senior VP and Investment Advisor at FinTrust Capital Advisors, about her path through the industry. (investmentnews.com) The pros and cons of instant issue life insurance. kitces.com) The nature of financial planning is change, both good and bad. blairbellecurve.com)
18 Questions For Financial Advisors Your Website Should Address
Advisor Websites
NOVEMBER 10, 2022
Landing clients as a financial advisor is no easy feat in today’s world. Self-serve platforms and robo-advisors are growing rapidly , lu ring potential customers away. Meanwhile, the number of registered investment advisors (RIAs) continues to increase while the percentage of Americans who work with an advisor has begun to decline.
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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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. ( It’s how the world’s most valuable company built a better way of listening to Mozart and Beethoven.
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