Career Mentor or Advocate?
New WIPN Research Compares ‘Advocates’ and ‘Mentors’
RIA in a Box Enables Automated Communications Archiving and Review
It also helps wealth management RIAs be better prepared for examinations.
Q1 2021 Sees ‘Record-Shattering’ Pace of Adviser M&As
Strong market conditions, increased competition from buyers and favorable deals for sellers laid the foundation for the activity, according to the latest data published by Echelon Partners.
RIAs Need to Remain Competitive in the Face of Record M&As
For those looking to be acquired, growth is key, says a BNY Mellon Pershing executive.
15th Anniversary of RPAY: Bukaty Companies Financial Services
Since winning the 2019 PLANSPONSOR Retirement Plan Adviser Mega Team of the Year award, Bukaty Companies Financial Services was acquired by employee benefits giant OneDigital, greatly expanding the services it can now offer clients.
Adviser Industry Headcount Shows Solid Growth
Data shared by the Investment Adviser Association shows the number of SEC-registered investment advisers continues to grow at a steady pace, reaching yet another record high at the end of 2019.
Wealth Management, RIA M&As Should Continue at Record Pace
Experts say it’s a seller’s market, and the consolidation of the industry will yield better services for retirement plan participants.
PANC 2020: Adviser Industry M&A From an Academic Perspective
Larger, more established firms are acquiring wealth management and RIA firms.
New Obligation to the SEC
There Were 13 RIA Transactions in January Totaling $18.9 Billion
After a record year for wealth management M&As in 2019, Fidelity expects the momentum will continue into 2020.
Advisers as Hybrid W-2 and 1099 Employees
Broadridge Acquisition of Fi360 Underlines RIA Fiduciary Evolution
Leading up to its own acquisition by the larger Broadridge organization, Fi360 had been actively acquiring other fiduciary solutions firms, aiming to build a comprehensive suite of RIA services.
Last Chance for Our Annual Adviser Top 100 Survey!
Plan advisers and adviser teams looking to be considered for our 2020 Top 100 Retirement Plan Adviser listing must complete the first step in this process by end-of-day Wednesday, September 25.
Washington Financial Scooped Up By Hub International
With the acquisition of Washington Financial Group, HUB International has made public the first of a series of significant anticipated acquisitions of Global Retirement Partners firms.
Familial Caregiving Impacts Many Clients’ Finances
One in five U.S. adults currently assists an older family member with daily tasks or housing, according to a new survey from RBC Wealth Management; in addition to causing stress and anxiety, the impact of caregiving can be significant on an individual’s financial health.
Fidelity M&A Report Counts Fewer, Far Bigger Deals Among RIAs and IBDs
Fidelity’s 2019 Wealth Management M&A Transaction Report shows there were 23 RIA deals inked during the year worth $1 billion or more.
After Grace Period, SEC Share Class Disclosure Investigations Begin
Attorneys warn the “other shoe has dropped” in the SEC’s special Share Class Disclosure Initiative—and RIAs that did not self-report potential 12b-1 fee disclosure violations are now being investigated.
The SEC on Rollovers
SEC Outlines Strategy Through 2022, Pledging Support for ‘Main Street’
According to the SEC’s strategic outline, when Main Street investors seek professional advice, their choices “all too often are not as clear as they should be.”