International College of Financial Planning

NOVEMBER 10, 2021

There is great demand for Investment Advisor professionals in India and here we look at the various Investment Advisor Courses and Training Programs that you can take. The demand for Investment Advisors has been constantly rising over the last two decades.

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XY Planning Network

DECEMBER 11, 2023

Unless your firm is registered with the SEC, your business is likely subject to the Beneficial Ownership Information (BOI) reporting requirements under the Corporate Transparency Act. This post dives into key details and what you need to know as we head towards 2024 to ensure you’re compliant.

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Wealth Management

MAY 17, 2023

After growing nearly 800% in five years, PCIA plans to move about $1 billion in client assets to Goldman Sachs to improve custodial services and access.

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Wealth Management

MARCH 9, 2023

With $400 million in assets, Cornerstone is the 15th acquisition in PCIA history and builds on roughly 500% growth in just five years.

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Wealth Management Investment Advisor Management Investing 107

Wealth Management

JULY 12, 2023

Executives say the funding will fuel the next stage of growth for PCIA, which has already expanded assets by some 700% since early 2018.

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Brown Advisory

APRIL 20, 2022

Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.

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Wealth Management

AUGUST 19, 2022

The $600 million acquisition advances Equitable’s wealth management growth strategy.

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Wealth Management

MARCH 8, 2023

Listening to what they say and watching for how they say it.

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Abnormal Returns

OCTOBER 16, 2023

wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. Podcasts Brendan Frazier talks with Meghaan Lurtz about re-engaging with existing clients. standarddeviationspod.com) M&A Are smaller RIAs at risk because of national, full-service firms?

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Wealth Management

APRIL 14, 2023

OneDigital acquired Huntington National Bank’s 401(k) and retirement plan business this week, while Clearstead Advisors picked up local firm CLS Consulting. The Mather Group and NewEdge Wealth both announced key hires.

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Retirement Planning Retirement Investment Advisor Planning 62

Wealth Management

MARCH 7, 2024

Cornerstone Advisors, a Baxter, Minn.-based based team with about $360 million in client assets, joins from Cetera Investment Advisors.

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Advisor Perspectives

FEBRUARY 26, 2024

In the first installment of this series, I pledged to unveil a retirement strategy with such merit that it warrants widespread adoption by the investment advisor community. Let's delve into the compelling case for this approach.

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Wealth Management

FEBRUARY 7, 2024

Much of these inflows into TLT can be attributed to a combination of ETF model providers and the registered investment advisor community.

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Wealth Management

SEPTEMBER 29, 2023

The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1 billion in collective penalties.

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NAIFA Advisor Today

FEBRUARY 16, 2024

Glenn Crawford is a Certified Divorce Financial Analyst (CDFA®) and a licensed insurance agent holding a Series 65 Investment Advisor Representative distinction. His mission is to support better financial outcomes for clients by educating, enabling, and empowering them to make sound decisions about their financial well-being.

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License Wealth Management Investment Advisor Consulting 105

Wealth Management

NOVEMBER 16, 2023

Mark Copeland, founder of Signature Estate & Investment Advisors and Ben Prigal, vice president of Reverence Capital Partners, discuss the value of partnership between private equity and RIAs.

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The Big Picture

JANUARY 19, 2024

The digital investment advisor manages over $40 billion in assets for 800,000 clients. All of our earlier podcasts on your favorite pod hosts can be found here. Be sure to check out our Masters in Business next week with Sarah Kirshbaum Levy , CEO, Betterment.

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Wealth Management

SEPTEMBER 14, 2023

Despite Goldman Sachs’ sale of its Personal Financial Management unit, the Wall Street firm says it’s doubling down on serving registered investment advisors. “We We don’t want to compete with RIAs. But we want to serve RIAs,” said a Goldman Sachs exec.

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Wealth Management

JANUARY 11, 2023

Charles Richard Burgess will go to prison for more than six years for fleecing investors of more than $4 million, while pretending to be a registered investment advisor.

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International College of Financial Planning

JULY 10, 2023

How Investment Advisors Play a Significant Role in Managing Finances? The field of investment advisory presents a world of opportunities for individuals passionate about finance and investments. Their primary objective is to help clients make informed investment decisions, manage risks, and achieve financial objectives.

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Wealth Management

MARCH 29, 2023

The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.

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A Wealth of Common Sense

SEPTEMBER 1, 2023

Rob Isbitts at ETF.com says Jerome Powell’s speech at Jackson Hole is bad news for 60/40 investors: For nearly two decades, investment advisors and self-directed investors came to understand and appreciate “asset allocation” as a complementary combination of stocks and bonds.

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Asset Allocation Portfolio Investment Advisor Assets 93

Abnormal Returns

JANUARY 26, 2023

bloomberg.com) NEA is becoming a registered investment advisor. (wsj.com) Startups Stripe is set to go public in the next twelve months. wsj.com) Startups are pulling out all the stops to avoid down-rounds. axios.com) The downside of using special purpose vehicles.

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Million Dollar Round Table (MDRT)

JUNE 18, 2023

Robert, a financial advisor in North Carolina, came to me after he had tried most of these. He’s an investment advisor representative and CFP with life and health insurance licenses. They tell me why they don’t want to reach out to their warm market or how they hate asking for referrals.

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Abnormal Returns

MARCH 27, 2023

marknewfield.substack.com) A Q&A with Donna Rasile, Senior VP and Investment Advisor at FinTrust Capital Advisors, about her path through the industry. (investmentnews.com) The pros and cons of instant issue life insurance. kitces.com) The nature of financial planning is change, both good and bad. blairbellecurve.com)

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Wealth Management

AUGUST 10, 2022

Lee Weiss previously pleaded guilty to investment advisor fraud related to a Ponzi-like scheme involving his firm Family Endowment Partners.

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Advisor Websites

NOVEMBER 10, 2022

Landing clients as a financial advisor is no easy feat in today’s world. Self-serve platforms and robo-advisors are growing rapidly , lu ring potential customers away. Meanwhile, the number of registered investment advisors (RIAs) continues to increase while the percentage of Americans who work with an advisor has begun to decline.

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Wealth Management

AUGUST 2, 2022

Beachwood, Ohio–based RIAs MGO Investment Advisors and One Seven have merged, with Merchant Investment Management taking a minority stake in the new entity.

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Wealth Management

AUGUST 2, 2022

Heber Fuger Wendin Investment Advisors, with $8.6 billion in assets, brings to Mariner its client roster of community banks and credit unions.

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Portfolio Investment Advisor Banking Assets 96

Advisor Perspectives

JANUARY 27, 2024

Registered investment advisors have long leaned on the 60% equities/40% fixed income portfolio structure. While it’s not perfect, it has served clients well, broadly speaking.

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Ron A. Rhodes

MAY 5, 2023

In the design and management of investment portfolios, both brokers (under Reg BI) and investment advisors (as fiduciaries) possess a duty of due care. This includes undertaking sufficient due diligence…

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Advisor Perspectives

JANUARY 20, 2024

The recent debut of spot bitcoin ETFs is expected to broaden the audience of cryptocurrency investors, including registered investment advisors (RIAs) and wealth management firms.

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The Big Picture

MAY 11, 2023

Annie Olszewski , Senior Director, Impact Capital Managers Anthony Scaramucci , Founder and Managing Partner, SkyBridge Capital Ben Cruikshank , President, Flourish Benjamin Felix , Portfolio Manager, Head of Research, PWL Capital Bill Capuzzi , CEO, Apex Fintech Solutions Blair duQuesnay , Investment Advisor, Ritholtz Wealth Management Brett Orvieto (..)

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Meb Faber Research

NOVEMBER 29, 2023

Episode #510: Radio Show – Jonathan Treussard & Nic Johnson on Carbon Credits, Pre-Worrying & Disrupting Residential Real Estate Guest: Jonathan Treussard is the founder of Treussard Capital Management LLC, a registered investment advisor that operates as a fiduciary for its clients.

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Wealth Management

MARCH 21, 2023

Key elements of a good investment advisor website.

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Wealth Management

MARCH 21, 2023

Key elements of a good investment advisor website.

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Covisum

NOVEMBER 21, 2023

As the founder and president of Covisum, Elsasser has played a pivotal role in developing solutions that cater specifically to Registered Investment Advisors (RIAs) who specialize in comprehensive financial planning for mass-affluent American clients in or approaching retirement age. Read on for a summary of the article.

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