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.

Investment Advisor 264

Investment Advisor Investments Investing Assets 264

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.

Investment Advisor 290

Investment Advisor Investments Investing Clients 290

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.

Numbers 166

Numbers Investment Advisor Clients Assets 166

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.

Investment Advisor 175

Investment Advisor Assets Clients Investing 175

Trade Brains

NOVEMBER 6, 2024

The Indian real estate market, traditionally requiring substantial investments, is evolving with the rise of Real Estate Investment Trusts (REITs). Now even small investors can participate in property investments with minimal capital. Real Estate Investment Trusts (REITs) have revolutionised property investment in India.

Investments 98

Investments Investing Distribution Portfolio 98

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.

Investment Advisor 246

Investment Advisor Investments Investing Assets 246

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 309

Investment Advisor Sales Management Investing 309

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.

Investment Advisor 139

Investment Advisor Clients Investing Investments 139

Abnormal Returns

JANUARY 13, 2025

morningstar.com) Michael Kitces talks sustainability with Peter Krull, the Director of Sustainable Investing of Earth Equity Advisors. riabiz.com) The biz A Q&A with Dave Welling CEO of Mercer Advisors about their new equity partner. kitces.com) 9 questions for Bob Veres about future of wealth management.

Wealth Management 162

Wealth Management Financial Advising Wealth Advisor Valuation 162

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.

Investment Advisor 293

Investment Advisor Investments Investing 293

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 246

Investment Advisor Management Investments Investing 246

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.

Communication 342

Communication Investment Advisor Investing Investments 342

Abnormal Returns

OCTOBER 21, 2024

(riabiz.com) XYPN Planning Network has launched a new registered investment advisor corporate affiliation model, Sapphire. venturebeat.com) Practice management How focusing on a niche can help in business development. thinkadvisor.com) Advvvisortech Vanilla just raised a new round of capital.

CFP 289

CFP Communication Investment Advisor Management 289

Wealth Management

MARCH 8, 2023

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

Investment Advisor 147

Investment Advisor Investments Investing 147

The Big Picture

AUGUST 26, 2022

Our previous discussions (debates really) were over the traditional model of brokerage I push back against versus the fee-based fiduciary asset management I embrace. My examples of overpriced, low-performing, abusive account management have been derided as outliers. But I digress. This isn’t really a fair accusation.

Accounting 353

Accounting Government Assets Management 353

Wealth Management

AUGUST 2, 2024

Interval funds are being pitched to registered investment advisors as an easy-to-sell entry into direct lending.

Investment Advisor 279

Investment Advisor Investing Investments 279

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.

Compliance 93

Compliance Financial Advisor Investment Advisor Clients 93

Darrow Wealth Management

NOVEMBER 4, 2024

Looking to find fiduciary financial advisors and wealth managers? Only fiduciary advisors are legally bound to act in your best interest at all times. Here are five ways you can find a full-time fiduciary financial advisor. What is a fiduciary advisor?

Financial Advisor 80

Financial Advisor Certified Financial Planner Fiduciary Duty Fee Only 80

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.

Investment Advisor 278

Investment Advisor Investing Investments 278

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.

Investment Advisor 278

Investment Advisor Investing Investments 278

Wealth Management

JULY 30, 2024

The milestone validates Captrust’s business model and growth of the registered investment advisor space.

Assets 264

Assets Clients Investment Advisor Investing 264

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.

Investment Advisor 268

Investment Advisor Assets Clients Investing 268

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.

Consulting 264

Consulting Investment Advisor Investing Investments 264

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 290

Investment Advisor Investing Investments 290

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.

Investment Advisor 284

Investment Advisor Investing Investments 284

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.

Investment Advisor 277

Investment Advisor Assets Clients Investing 277

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.

Investment Advisor 274

Investment Advisor Investing Investments 274

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.

Investment Advisor 264

Investment Advisor Investing Investments 264

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.

Wealth Advisor 241

Wealth Advisor Clients Investment Advisor Investing 241

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.

Assets 264

Assets Investment Advisor Clients Investing 264

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 162

Retirement Planning Retirement Investment Advisor Planning 162

Wealth Management

MARCH 21, 2023

Key elements of a good investment advisor website.

Investment Advisor 242

Investment Advisor Investing Investments 242

Wealth Management

MARCH 21, 2023

Key elements of a good investment advisor website.

Investment Advisor 242

Investment Advisor Investing Investments 242

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 246

Portfolio Investment Advisor Banking Assets 246

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.

Financial Planner 147

Financial Planner Compliance Investment Advisor Consulting 147

Trade Brains

OCTOBER 29, 2024

Reason for Rise: Adani Enterprises achieved remarkable growth primarily due to efficient cost management and strategic business expansions. Adani Enterprises manages seven operational airports handling approximately 80 million passengers annually. are their own, and not that of the website or its management.

Manufacturing 105

Manufacturing Management Investment Advisor Consulting 105

Trade Brains

NOVEMBER 6, 2024

It offers a range of banking services, including retail, corporate, and wealth management. However, investors should consider both technical indicators and fundamental analysis before making investment decisions. are their own, and not that of the website or its management. Investing in equities poses a risk of financial losses.

Banking 98

Banking Distribution Valuation Retail 98