‘Small’ RIAs Got Larger Under SEC Amendments
The net-asset threshold for small registered investment advisers is now 40 times larger and will be adjusted for inflation every...
Tag: registered investment advisers
Independent RIAs Hit $1B at Nearly 4 Times Last Year’s Pace
More advisory firms are hitting scale at a consistent pace, according to the wealth intelligence platform Fintrx.
Adviser Movement Increased Ahead of Record M&A Quarter
A study shows more than 39,000 financial advisers changed firms in 2025, marking a third straight year of increased movement.
January, February Active Months for RIA M&A
Merger-and-acquisition activity is keeping pace with the last couple years, but buyers and sellers are showing they are selective.
SEC RIA ‘Small Entity’ Redefinition Could Affect M&A
If a large number of firms would be subject to less-burdensome regulatory requirements, it could lead to missteps during integration.
Q3 Sees Record $1.2T in RIA M&A
Reports by Echelon and MarshBerry anticipate a record-breaking year for total number of merger-and-acquisition deals involving registered investment advisers and...
PE Ownership Expands Into Midsize, Small RIAs
Private equity firms now own nearly one-quarter of registered investment advisers’ assets under management, according to AdvizorPro.
First Half of 2025 Set Record for RIA M&A, per Fidelity
Private equity was responsible for 86% of transactions involving registered investment advisers, according to a new report from Fidelity.
RIAs Held Nearly $4T in ETF Assets in 2024
Registered investment advisers held nearly half of all active ETF assets and almost 40% of total ETF assets last year,...
RIAs Continue to Accelerate Tremendous M&A Pace
Private equity-backed wealth management firms have made the lion’s share of RIA acquisitions, according to separate studies from Echelon Partners...
Running Against the Bulls: RIAs’ Economic Concerns Increase for Next 12 Months
Registered investment advisers remained more bullish than retail investors in a recent market outlook study by Schwab Asset Management, but...
FinCEN Delays Anti-Money Laundering Rule for Investment Advisers Until 2028
According to the agency, the delay will allow it to balance regulatory efficiency with industry burden for the rule implemented...
SmartAsset Ranks Hawaii, Maine as Best States for Adviser Opportunity
The fintech provider ranked 44 states by assets under management available per SEC-registered adviser.
SEC Requires Internet Advisers to Be 100% Online
In order to register using the internet adviser exception, advisers must provide all their services through a website and not...
SEC Suggests Retirement Assets Should Not Count Toward Accredited Investor Threshold
The regulator’s report on the accredited investor definition noted that many only qualify because of their DC plan assets.
Wells Fargo Agrees to Pay $35 Million for Overcharging Advisory Accounts
The registered investment adviser overbilled clients with custom rates by maintaining inadequate procedures, the SEC said.
Anti-ESG Bill Would Require Only Pecuniary Factors to Be Considered
Kentucky Representative Andy Barr introduced a bill aimed at returning investment regulations to a Trump-era standard.
Pensionmark Hires Compliance Head To Help With Acquisition Push
Jonathan Curley, a former RIA, will perform due diligence on firms Pensionmark is looking to acquire.
Investment Product and Service Launches
Cambridge Financial launches private client solutions offering; Orion offering free learning for fiduciary advisers; and more.
Experts: Good RIA Succession Plans Separate Owners from Managers
A panel discussing succession planning also noted giving next-generation managers “permission to fail” as they learn to run their parts...