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.

Investment Advisor 111

Investment Advisor Wealth Management Investing Investments 111

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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Investment Advisor Investing Investments Portfolio 52

Wealth Management

AUGUST 19, 2022

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

Investment Advisor 98

Investment Advisor Wealth Management Investing Investments 98

Wealth Management

MARCH 8, 2023

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

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Investment Advisor Investing Investments 59

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.

Retirement Planning 64

Retirement Planning Retirement Investment Advisor Planning 64

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.

Investment Advisor 120

Investment Advisor Investing Investments Sales 120

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 98

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.

Financial Advisor 52

Financial Advisor Certified Financial Planner Investment Advisor Investing 52

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.

Investment Advisor 105

Investment Advisor Assets Clients Investing 105

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.

Investment Advisor 116

Investment Advisor Investing Investments 116

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.

Financial Advising 211

Financial Advising Investment Advisor Startup Insurance 211

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.

Financial Planner 75

Financial Planner CFP Investment Advisor Financial Advisor 75

International College of Financial Planning

AUGUST 31, 2023

How Investment Advisors Play an Important Role? Navigating the complexities of the investment world can be challenging. Many people often wonder how best to position their investments to meet long-term financial goals. These professionals offer investment advice based on comprehensive research and deep industry knowledge.

Portfolio 52

Portfolio Investing Investments Certified Financial Planner 52

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)

Financial Advising 130

Financial Advising Investment Advisor Financial Planning Insurance 130

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 (..)

Wealth Management 162

Wealth Management Investment Advisor Wealth Advisor Portfolio Management 162

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.

Investment Advisor 98

Investment Advisor Investing Investments Management 98

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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Investment Advisor Investing Investments 105

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.

Financial Advisor 98

Financial Advisor Investment Advisor Clients Investing 98

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…

Investment Advisor 46

Investment Advisor Investing Investments Portfolio 46

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.

Portfolio 98

Portfolio Investment Advisor Assets Banking 98

Wealth Management

MARCH 21, 2023

Key elements of a good investment advisor website.

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Investment Advisor Investing Investments 98

Wealth Management

MARCH 21, 2023

Key elements of a good investment advisor website.

Investment Advisor 98

Investment Advisor Investing Investments 98

Ballast Advisors

MARCH 15, 2023

When working with a Registered Investment Advisor (RIA), investors may have heard the term “custodial relationship.” ” This refers to a partnership between the RIA and a financial institution that acts as the custodian of the client’s investment assets.

Banking 75

Banking Investment Advisor Assets Investing 75

Wealth Management

MARCH 2, 2023

Predictive data technologies may create “inherent conflicts” of interest related to the duty that investment advisors have to their clients, the SEC chair said.

Investment Advisor 52

Investment Advisor Management Clients Investing 52

Cornerstone Financial Advisory

SEPTEMBER 5, 2023

FMG is not affiliated with the named representative, financial professional, Registered Investment Advisor, Broker-Dealer, nor state- or SEC-registered investment advisory firm. Investment Advisor Representative, Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor.

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Marketing Marketing Investment Advisor Taxes 105

Yardley Wealth Management

JUNE 6, 2023

A good financial advisor can provide investment advice and help navigate the various types of financial advisors, such as registered investment advisors and fee-only advisors. When choosing a financial advisor, consider their costs and whether they earn commissions on products they recommend.

Financial Advisor 52

Financial Advisor Certified Financial Planner Retirement Planning CFP 52

The Big Picture

MARCH 31, 2023

Embattled First Republic Bank is no longer searching for a buyer as investment advisors and company executives seek to repair the company’s balance sheet before any sale might take place, FOX Business has learned. ( It’s how the world’s most valuable company built a better way of listening to Mozart and Beethoven.

Banking 162

Banking Investment Advisor Assets Math 162

Wealth Management

AUGUST 17, 2022

The investment will allow Signature Estate & Investment Advisors to move into the M&A space for the first time and expand distribution for its TAMP.

Investment Advisor 59

Investment Advisor Distribution Investing Investments 59

Cornerstone Financial Advisory

AUGUST 7, 2023

FMG is not affiliated with the named representative, financial professional, Registered Investment Advisor, Broker-Dealer, nor state- or SEC-registered investment advisory firm. Investment Advisor Representative, Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor.

Marketing 98

Marketing Marketing Investment Advisor Taxes 98

Brown Advisory

JUNE 13, 2022

Our Perspective on Optimal Governance Structure ajackson Mon, 06/13/2022 - 14:12 Leaders of mission-driven nonprofit organizations understand that their board’s investment committee (IC) typically shoulders the greatest share of responsibility in developing and fostering the organization’s relationship with an investment advisor.

Government 52

Government Investment Advisor Portfolio Investing 52

Brown Advisory

JUNE 13, 2022

Leaders of mission-driven nonprofit organizations understand that their board’s investment committee (IC) typically shoulders the greatest share of responsibility in developing and fostering the organization’s relationship with an investment advisor.

Government 52

Government Investment Advisor Portfolio Investing 52

Nerd's Eye View

NOVEMBER 28, 2022

Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.

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Clients Fee Only Financial Advisor Investment Advisor 201

Bell Investment Advisors

APRIL 8, 2022

On March 4, the Oakland Symphony took to the stage of the Paramount Theatre in a moving tribute to the late Bonnie Bonetti-Bell , co-founder of Bell Investment Advisors and patron of the Oakland arts community. The post Remembering Bonnie Bell at the Oakland Symphony appeared first on Bell Investment Advisors.

Investment Advisor 52

Investment Advisor Investing Investments Management 52

Nerd's Eye View

NOVEMBER 28, 2022

Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.

Portfolio 193

Portfolio Fee Only Financial Advisor Investment Advisor 193

WiserAdvisor

MARCH 16, 2023

This tool enables individuals to complete a thorough background check on financial professionals like brokers, brokerage firms, financial advisors, investment advisors, advising firms, etc. The Securities and Exchange Commission’s (SEC) website is also beneficial in gathering details on investment advisors and firms.

Financial Advisor 80

Financial Advisor Investment Advisor License Financial Planning 80

XY Planning Network

JUNE 13, 2022

Outside managers offer affordable investment management services for smaller accounts and can be a wonderful option for advisors and their clients, just keep in mind that leveraging an outside manager comes along with some regulatory considerations and compliance to-dos.

Investing 52

Investing Investments Investment Advisor Management 52

Harness Wealth

MAY 18, 2023

However, in the past three decades, the confluence of tech innovation, and the democratization of financial product distribution and private capital have led to a boom in the independent registered investment advisor (RIA) channel.

Taxes 52

Taxes Wealth Advisor Financial Advisor Investment Advisor 52