Tag: registered investment advisers

For those looking to be acquired, growth is key, says a BNY Mellon Pershing executive.

Since winning the 2019 PLANSPONSOR Retirement Plan Adviser Mega Team of the Year award, Bukaty Companies Financial Services was acquired...

Experts say it’s a seller’s market, and the consolidation of the industry will yield better services for retirement plan participants.

Larger, more established firms are acquiring wealth management and RIA firms.

Lincoln Financial Group releases new guaranteed lifetime income option; MUFG adds Broadridge loan tracker; and USI Advisors adds Investment Metrics...

Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.

After a record year for wealth management M&As in 2019, Fidelity expects the momentum will continue into 2020.

RIA education organization rebrands; USCF adds nultiple ETPs to TD Ameritrade platform; Transamerica alters subadvisers, fees for Large Growth Fund;...

However, fewer RIAs and fee-based advisers expect consolidation to increase in the next 12 months, compared to five years ago.

Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the...

They see the differences between wirehouses, broker/dealers and registered investment advisers blurring.

This is the fifth year in a row they have identified cybersecurity as their No. 1 concern.

They plan on using it to better understand clients’ needs.

The site was redesigned using advanced analytics and Artificial Intelligence to better understand their wants and needs. 

There were 41 deals in the fourth quarter.

They are making the move to become more competitive in light of the fact revenue growth has slowed to 7%.