Tag: RIAs

Private Advisor Group Taps Frank Smith to be CEO; Accelerate Retirement names Thurston managing director; The Marygold Companies appoints fintech...

Vanguard offers multi-sector income bond fund; Hub starts HR technology consulting practice; Vestmark launches six direct-index separately managed accounts; and...

Cetera will bring 1,000 Securian financial professionals into its network.

The M&A tear did finally slow in Q4 2022, marking the first year-over-year quarterly decline in more than four years,...

OneDigital acquires third property-and-casualty business in past two months; Ubiquity and DriveWealth bring fractional share trading to small business 401(k)s;...

FiComm and ProudMouth team up on adviser podcasting; 21Shares launches crypto index; Caplight launches platform to monitor private company valuations;...

Broadridge re-ups with IGM for broker wealth platform; Reverence Capital selects CAIS Channel for alt offerings; $25B RIA Sanctuary extends...

Transamerica brings to market life insurance policy with guaranteed income option; J.P. Morgan app sends check deposits directly into IRAs;...

A proposed ban on noncompete contracts by the FTC would likely have implications for the RIA firms some retirement advisories...

Lincoln Financial expands employer wellness offers to student debt management; Docupace brings new productivity toolkit for advisers; digital bank Green...

Some call for the SEC to drop the proposal; others want clarity on which outsourcing duties should be vetted; and...

41% of advisers told Broadridge they generated clients through social media, up from 34% in 2019.

Insurance outsourcing firm RetireOne partners with Nationwide on annuities for investment advisers. But recent research brings into question just how...

Expectations for RIA valuations and M&A activity reach lowest levels in five years of annual surveying by DeVoe & Company.

Investment advisers are prioritizing talent acquisition and retention due to client growth and strong business performance, according to Charles Schwab.

SageView CEO Randy Long discusses the firm's most recent acquisitions, and what types of advisers it will be focused on...

Financial Regulator FINRA issues guidance on succession planning for the graying adviser space, including small firms looking to sell.

Private equity continues to be attracted to wealth management M&A despite the current market volatility, according to Echelon Partners’ Q3...

The wealth management firm continues an acquisitions push after nearly doubling assets under management to $10 billion last year.

Under the proposal, registered investment advisers and investment companies would have to adopt and implement written cybersecurity policies and procedures ‘reasonably designed to address cybersecurity risks.’