Wealth Management

JULY 1, 2025

based registered investment advisor with $1.1 Founded in 2013, Steward had over $40 billion in client assets as of January 2025. It has 553 partner firms, 282 advisors, and 69 offices across the country. Number 8860726. billion in client assets, expanding Steward’s presence in the Bay Area. Seo and a team of about 10.

Wealth Management 174

Wealth Management Estate Planning Clients Planning 174

Sara Grillo

MARCH 13, 2023

Phil holds the Chartered Alternative Investment Analyst (CAIA) designation and is the host of The ETF Experience and the Phil Bak Podcast. nationally recognized as the first investment advisor to offer only Exchange Traded Funds. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 59

Financial Advisor Assets License Management 59

The Big Picture

DECEMBER 6, 2022

So, yeah, I had a career in investment banking with Jefferies, and it was a really good professional experience because I do have the opportunity to work in M&A, equity and debt financing. I did in 2013 the largest banking transaction that the market had seen since the financial crisis, it was a $2.4 billion deal. BERRUGA: Yeah.

Clients 157

Clients Investing Investments Management 157

Brown Advisory

NOVEMBER 12, 2015

This is a significant increase over the rate for long-term gains rate of 15% for the highest bracket prior to 2013. As always, we recommend that you consult your tax and investment advisors to determine what, if any, actions you should take before the end of the year to minimize your tax burden this year and in the future.

Planning 52

Planning Taxes Distribution Medical 52

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 157

Compliance Clients Wealth Management Management 157

The Big Picture

JULY 29, 2024

So 00:09:10 [Speaker Changed] I know Orion for many years because from the RIA perspective, from a registered investment advisor perspective, clients want to know how their portfolios are doing, what their performance is, both in absolute terms and relative to benchmarks. That’s right. So tell us a little bit about that.

Clients 144

Clients Portfolio Financial Advisor Investing 144

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor? www.cfp.net.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59