World Investment Advisors Acquires $3.5B Raymond James Team
Wealth Management
JULY 17, 2024
Fresh off a rebrand, World Investment Advisors adds Boston Harbor Wealth Advisors, as it continues to build out its wealth business.
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World Investment Advisors Launches Managed Account Platform
Wealth Management
MARCH 25, 2025
The RIA aggregator will offer both in-house and third-party investment strategies on the platform, which will be led by former Vestmark product lead Lauren Yeaton Hunt.
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Prime Capital Investment Advisors: If It’s Not In Salesforce, It Didn’t Happen
Wealth Management
MAY 9, 2024
CFO Brian Dillbeck explains how deep integration within the CRM of the $24.4 billion AUM firm makes client data easy to access.
Schechter Investment Advisors: Long-Term Allocators With Direct Indexing at the Core
Wealth Management
MAY 9, 2024
Aaron Hodari, the chief investment officer at Schechter, provides a peek inside the $3.45 billion RIA’s moderately aggressive model portfolio.
Arax Adds $4B Michigan-based RIA
Wealth Management
JUNE 2, 2025
Schechter Investment Advisors, a boutique wealth advisory firm based in an affluent Detroit suburb, will join Arax Advisory Partners, significantly increasing the RIA networks client assets.
RIA Industry Hit Record Number of Firms, Client AUM in 2024
Wealth Management
MAY 30, 2025
The Investment Advisor Industrys annual report showed an all-time high of 15,870 SEC-registered advisors overseeing a 12.6% increase in assets to $144.6 as of the end of 2024.
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Advisor Who Fled Feds With Underwater Scooter Pleads Guilty to $35M Ponzi Scheme
Wealth Management
MAY 19, 2025
The DOJ claimed that Matthew Piercey touted his bona fides as an investment advisor but stole millions from clients, contending federal investigations against him were merely payback.
Weekend Reading For Financial Planners (December 21–22)
Nerd's Eye View
DECEMBER 20, 2024
Senate appears poised to pass legislation that would eliminate the long-established WEP and GPO provisions and increase the Social Security benefits of many state and local workers in the process From there, we have several articles on investment planning: While index funds are often viewed as 'passive' investments, advisors can add value for their (..)
Prime Capital, Pensionmark Rebrand
Wealth Management
JULY 12, 2024
Effective immediately, Prime Capital Investment Advisors will become Prime Capital Financial, while Pensionmark rebrands to World Investment Advisors, a nod to its parent company.
More Firms to Pay $79M To Settle SEC Off-Channel Communication Charges
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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Private Credit Sells Funds for Small Investors as Big Ones Balk
Wealth Management
AUGUST 2, 2024
Interval funds are being pitched to registered investment advisors as an easy-to-sell entry into direct lending.
Bluespring Acquires $1.35B Rodgers & Associates
Wealth Management
JULY 31, 2024
based registered investment advisor with over $1.35 Rodgers & Associates Wealth Advisers, a Lancaster, Pa.-based billion in client assets and 25 employees.
$1B New Jersey Firm Leaves Osaic for LPL Financial
Wealth Management
JULY 24, 2024
Investment Advisors Financial Group sought more autonomy, which led them to the IBD. It’s the latest team to leave Osaic after the firm’s rebranding from Advisor Group.
Twenty Years Later, Los Angeles Advisor Returns to SEIA
Wealth Management
DECEMBER 4, 2024
The recent SEIA acquisition brings Canon Price, founder of $300 million AUA RIA Beverly Investment Advisors, back to the firm where she started her career three decades ago.
Goldman Sachs’ Adam Siegler to Lead Firmwide RIA Strategy
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.
Mariner Adds $292B Institutional Consulting Firm
Wealth Management
JANUARY 9, 2025
Cardinal Investment Advisors, an institutional consulting firm, will expand upon Mariner Institutional, a new division seeded last year when the RIA acquired two firms with that focus.
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UBS Client Says His Wife Moved In With Their Wealth Advisor. It Got Messy
Wealth Management
MARCH 19, 2025
financial firms: when brokers or investment advisors have personal or intimate relationships with their clients. The drama spotlights an issue that has long bedeviled U.S.
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Mariner Hires M&A Lead Rob Sandrew to Oversee $40B Independent Channel
Wealth Management
JUNE 17, 2025
Mariner is seeking to bolster its independent registered investment advisor channel by hiring Rob Sandrew to oversee the division, which includes more than 1,100 advisors and about $40 billion in client assets. AUM from UBS RBC Attracts Three Advisors Totaling $1.1B The Bahnsen Group Names President, CFO $7.5B
Adviser links: success rates
Abnormal Returns
JANUARY 13, 2025
(riabiz.com) The biz A Q&A with Dave Welling CEO of Mercer Advisors about their new equity partner. citywire.com) Mariner Wealth Advisors has purchased institutional consultant Cardinal Investment Advisors. riabiz.com) Advisers Clients are going to assess "success rates" from a Monte Carlo simulation differently.
How to Ensure a Smooth Transition to Your New RIA Firm
XY Planning Network
DECEMBER 9, 2024
If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns. Managing this process effectively is crucial for retaining clients and ensuring compliance.
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Adviser links: a sobering reminder
Abnormal Returns
APRIL 28, 2025
rationalreminder.libsyn.com) Custodians Altruist has raised $152 million in a Series F round that values the registered investment advisor custodian at $1.9 (kitces.com) Cameron Passmore and Benjamin Felix talk with Jason Pereira about the true role of a financial planner.
Adviser links: time and space
Abnormal Returns
OCTOBER 21, 2024
(youtube.com) The biz Schwab Advisor Solutions will look to boost revenue, just not through custody fees. riabiz.com) XYPN Planning Network has launched a new registered investment advisor corporate affiliation model, Sapphire. thinkadvisor.com) Advvvisortech Vanilla just raised a new round of capital.
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Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA
Wealth Management
JUNE 10, 2025
Alex Ortolani , Senior Reporter June 10, 2025 1 Min Read SilverStar President and Lead Principal Tim Hudson Bluespring Wealth Partners, the registered investment advisor acquisition arm of Kestra Holdings , has acquired a former Kestra Advisory Services firm in the Houston metro area to merge with its LifeBridge Financial Group and create a $1.4
Pennsylvania Advisor Who Used Client Funds on Country Club Dues Gets 8 Years in Prison
Wealth Management
JUNE 26, 2025
Mason, who ran Rubicon Wealth Management, a registered investment advisor in Gladwyne, Pa., Mason was also ordered to pay nearly $25 million in restitution to his victims and nearly $2.4 million to the IRS. and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ.
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Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA
Wealth Management
JULY 3, 2025
Related: Allworth’s Latest Deal Signals a Shift in M&A Strategy Carson Group Acquires $300M Affiliate Carson Group, the $42 billion registered investment advisor, has acquired another location out of its Carson Wealth partner network. The Jacob William Advisory in Cockeysville, Md., manages about $300 million in client assets.
10 States with the Most and Least Potential AUM Per Advisor
Wealth Management
JULY 9, 2025
states by the potential AUM available per SEC-registered advisor. To get the ranking, it divides the total household net worth (excluding home equity) by the number of active investment advisors in the state to show the ones that are most and least saturated with advisors. The company recently ranked 44 U.S.
Elevation Points Stakes $1B Raymond James Breakaway
Wealth Management
JULY 15, 2025
The firm’s founders are two second-generation advisors breaking away from Raymond James along with their fathers. In addition to financial and business reporting, he has worked in media relations and corporate communications for tech firms and Fortune 500 companies.
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Weekend Reading For Financial Planners (September 21–September 22)
Nerd's Eye View
SEPTEMBER 20, 2024
Further, the survey showed the continued predominance of the AUM fee model amongst state-registered firms (at the same time, more than half of firms said they charge on a fixed-fee or hourly basis, suggesting many firms utilize multiple fee models) and identified the most common areas of regulatory enforcement during the year, with failure to register (..)
The Great RIA Consolidation: Private Equity Reshapes Wealth Management
Advisor Perspectives
JULY 8, 2025
Private equity has officially conquered the registered investment advisor (RIA) landscape. It is now responsible for a significant portion of RIA-linked M&A activity.
Steward Partners Acquires $1.1B Bay Area Firm
Wealth Management
JULY 1, 2025
based registered investment advisor with $1.1 Diana Britton , Executive Editor , WealthManagement.com July 1, 2025 1 Min Read Steward Partners, an employee-owned hybrid partnership of independent advisory firms , has acquired Consilium Wealth Management, a Danville, Calif.-based Seo and a team of about 10.
Fynancial Wins 'Best in Show' at Wealth Management EDGE Tech Demos
Wealth Management
JUNE 20, 2025
Sponsored Content Alternative Investments Summit: Navigating the New Frontier Alternative Investments Summit: Navigating the New Frontier Apr 11, 2025 stock market chart hand finger pointing Alternative Investments Advisors Say Liquidity, Limited Options Block Greater Alts Adoption Advisors Say Liquidity, Limited Options Block Greater Alts Adoption (..)
$27B Choreo Taps Former Edelman Exec as CEO
Wealth Management
JULY 1, 2025
Sponsored Content Alternative Investments Summit: Navigating the New Frontier Alternative Investments Summit: Navigating the New Frontier Apr 11, 2025 digital automation dial Marketing The Pitfalls of Over-Automation in Wealth Management Marketing The Pitfalls of Over-Automation in Wealth Management Marketing by Marissa Fox-Foley Jun 30, 2025 3 Min (..)
Robust Order Book: 4 Low Debt Stocks with Strong Fundamentals to Keep an Eye On
Trade Brains
JULY 6, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.
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Reliance Group stock in focus after SBI declares company’s loan A/C as fraud
Trade Brains
JULY 2, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.
Bulk Deal: 2 Stocks jump after mutual funds buy shares worth up to ₹481 Cr in the companies
Trade Brains
JULY 9, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.
Empowering Employee Advisors Who Struggle With Business Development By Narrowing Them Into A Niche
Nerd's Eye View
OCTOBER 14, 2024
Independent Registered Investment Advisors (RIAs) often face significant challenges in attracting advisors who can proactively generate new business.
Block Deal: Smallcap stock crashes 9% after shares worth ₹440 Cr changed hands
Trade Brains
JUNE 20, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.
How to invest in real estate with only 500 rupees?
Trade Brains
NOVEMBER 6, 2024
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. The post How to invest in real estate with only 500 rupees? appeared first on Trade Brains.
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Upcoming Bonus Shares: 3 Stocks That Will Turn Ex-Bonus Next Week
Trade Brains
JULY 6, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.
Stocks that are currently trading in the oversold zone with RSI less than 30
Trade Brains
NOVEMBER 6, 2024
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Dailyraven Technologies or the author are not liable for any losses caused as a result of the decision based on this article.
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3 Stocks in which FIIs increased their stake by up to 8.81% to add to your watchlist
Trade Brains
JUNE 15, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.
Mukesh Ambani stock jumps 5% after receiving regulatory approval from SEBI for its brokerage firm
Trade Brains
JUNE 27, 2025
On Friday, the company, through a stock exchange filing, announced that Jio BlackRock Broking Pvt Ltd, which is a wholly owned subsidiary of Jio BlackRock Investment Advisors, has received regulatory approval from the Securities and Exchange Board of India (SEBI) to start its operation as a brokerage firm in India.
Adani group stock jumps after company’s net profit increases by 660% YoY
Trade Brains
OCTOBER 29, 2024
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Dailyraven Technologies or the author are not liable for any losses caused as a result of the decision based on this article.
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₹21 to ₹674: Multibagger Power Stock that turns ₹1 lakh into ₹31 lakh in Just 5 Years
Trade Brains
JUNE 7, 2025
Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Dailyraven Technologies or the author are not liable for any losses caused as a result of the decision based on this article.
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