Tag: RIAs

Summit Financial, led by founder and managing partner Joseph Bonasera, is joining the Commonwealth Financial Network.

InvestSimply, a Web-based portfolio management service and registered investment adviser (RIA), is expanding its marketplace for managed personal investment portfolios.

Surveyed registered investment advisers (RIAs) said that the top reason investors choose to work with an independent RIA is because of the fiduciary responsibility that comes with the role....

Pershing Advisor Solutions, a BNY Mellon company, has published a white paper reviewing various independent registered investment adviser (RIA) models, to assist wirehouse advisers considering a change.  

With private equity firms such as The Carlyle Group, Warburg Pincus, and Rosemont investing in registered investment adviser (RIA) businesses, Schwab Advisor Services says that the RIA model...

Lori Van Dusen has founded LVW Advisors (LVW), a Rochester, New York-based independent registered investment adviser (RIA), which will join the Focus Financial Partners network. 

Schwab Advisor Services has launched a campaign called “RIA Stands for You,” a multi-media initiative to help attract affluent investors to the independent RIA category.

Outsourced technology integration can boost productivity and efficiency for RIAs by up to 30%, according to NFP Advisor Services Group.   

Schwab Advisor Services has published a new white paper focusing on legal and regulatory considerations for advisers looking to transition to an independent RIA business model.  

Charles Schwab has created Schwab Intelligent Integration solutions for independent registered investment advisers (RIAs). 

An annual report examining SEC-registered investment advisers found that, although the total number of RIAs declined for the first time since 2001, the total assets under management (AUM)...

Schwab Advisor Services data on registered investment adviser (RIA) mergers and acquisitions activity for the first half of 2011 shows M&A activity is down from 2010, but deal...

A recently released study from Pulse Logic set out to explain why independent registered investment advisers (RIAs) have more assets under management than broker/dealer affiliated advisers.  

A recent report suggests that asset managers need to be using digital media to attract registered investment advisers (RIAs).

Schwab Advisor Services announced that Laser App, a desktop software package, will be widely available to advisers that custody with the company by the end of the year.

Charles Schwab’s 2011 RIA Benchmarking Study found that meeting and adapting to regulatory changes was an impediment to growth, cited by 21% of firms for the first time...

Zach Gronich, President and CEO of RIA in a Box, says that advisers who will need to register at the state level should be aware of the paperwork...

Schwab Advisor Services is introducing a consultative program, “Managing Client Profitability,” designed to help advisers grow their business through effective client segmentation.

Pershing LLC, a BNY Mellon company, has added more than 20 providers to its ValueAlliance program.

A judge this week dismissed a case alleging that because brokers are being paid for investment advice by 12(b)-1 fees, they should also be registered as investment advisers.