Wealth Management

JULY 3, 2025

The Bordeaux team, led by managing partners Tom Myers and David Murdock, came out of Brownson, Rehmus & Foxworth, a Chicago-headquartered RIA. manages about $300 million in client assets. based advisor Brandon Dixon-James has moved his book of business from Osaic to LPL Financial. a suburb of Nashville.

Wealth Management 153

Wealth Management Recruitment Estate Planning Financial Advisor 153

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 284

Investment Advisor Investments Investing Clients 284

Wealth Management

JULY 1, 2025

Bay Area Firm Consilium Wealth Management joins Steward’s legacy division, which supports established teams seeking long-term succession and continuity. based registered investment advisor with $1.1 Its affiliate company, Simplex Wealth Management, serves clients with $1 million or more in assets.

Wealth Management 181

Wealth Management Estate Planning Clients Planning 181

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.

Investment Advisor 273

Investment Advisor Investing Investments Portfolio 273

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 306

Investment Advisor Sales Management Investing 306

Wealth Management

JULY 1, 2025

In 2022, Parthenon hired Miles as its chief executive when it bought RSM’s wealth management business and renamed it Choreo. Most recently, he was serving as head of the wealth management business and chief marketing officer. Vest Financial Services, as president. Related: Q&A: What Was Behind Schechter’s Decision to Sell to Arax?

Wealth Management 176

Wealth Management Estate Planning Planning Clients 176

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. kitces.com) 9 questions for Bob Veres about future of wealth management. 199A deductions. axios.com)

Wealth Management 162

Wealth Management Financial Advising Wealth Advisor Valuation 162

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 181

Investment Advisor Assets Clients Investing 181

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 165

Numbers Clients Investment Advisor Assets 165

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 291

Investment Advisor Investing Investments 291

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 Clients 289

Trade Brains

JULY 3, 2025

The shares of the prominent broking house gained up to 7 percent in today’s trading session after the company achieved a significant milestone, as its Assets Under Management (AUM) crossed Rs 1.5 Its team includes 2,500+ Relationship Managers and 100+ research professionals. lakh crore in assets under advice, it manages 7.8

Assets 59

Assets Management Financial Services Distribution 59

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 146

Investment Advisor Clients Investing Investments 146

Wealth Management

JUNE 25, 2025

Reporting & Portfolio Management: Orion JY: When Tucker and I bought the firm, they were already on Orion. Related: The Diamond Podcast for Financial Advisors: Doug Fritz on AI, Strategy and the Future of Wealth Management We are in the process of moving over to Orion’s portal system.

Wealth Management 153

Wealth Management Estate Planning Financial Advisor Clients 153

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 95

Compliance Financial Advisor Investment Advisor Clients 95

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 341

Communication Investment Advisor Investing Investments 341

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 280

Investment Advisor Investing Investments 280

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

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 274

Investment Advisor Assets Clients Investing 274

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 274

Investment Advisor Investing Investments 274

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 274

Investment Advisor Investing Investments 274

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 261

Consulting Investment Advisor Investing Investments 261

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 282

Investment Advisor Investing Investments 282

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 250

Wealth Advisor Clients Investment Advisor Investing 250

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 272

Investment Advisor Investing Investments 272

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

JULY 6, 2025

Debt can be a fantastic asset for driving business growth when handled correctly, but if it’s not managed well, it can take a serious toll on a company’s financial stability. Written by Satyajeet Mukherjee Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

Manufacturing 104

Manufacturing Distribution Investing Investments 104

Trade Brains

NOVEMBER 6, 2024

Real Estate Investment Trusts (REITs) have revolutionised property investment in India. These companies manage profitable real estate portfolios across various sectors. Consequently, investors receive steady returns without managing physical properties themselves. Investing in equities poses a risk of financial losses.

Investing 98

Investing Investments Distribution Portfolio 98

Trade Brains

JULY 2, 2025

This indicates steady future revenue from managing and maintaining completed projects, providing financial stability alongside new project work. Written By Fazal Ul Vahab C H Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in crore as of March 31, 2025.

Management 71

Management Engineering Accounting Investment Advisor 71

Trade Brains

JUNE 20, 2025

Powered by a proprietary tech stack, Nimbus, nPOS, Nu Score, and Altifi Northern Arc ensure efficient credit delivery and risk management. As of FY25, it manages a fund AUM of Rs 3,158 crore, lending AUM of Rs 13,634 crore, with disbursements of Rs 19,840 crore. are their own, and not that of the website or its management.

Financial Services 91

Financial Services Retail Risk Management Investment Advisor 91

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 Investing 105

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. Regardless of the reason, the responsibility of acquiring new clients frequently falls on firm owners, limiting scalability and complicating succession planning.

Strategic Planning 246

Strategic Planning Sales Clients Planning 246

Trade Brains

JULY 1, 2025

Goldman Sachs is a leading global investment banking, securities, and asset management firm serving corporations, financial institutions, governments, and individuals worldwide. crore Written by Abhishek Singh Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

Banking 115

Banking Engineering Numbers Financial Services 115

Trade Brains

NOVEMBER 6, 2024

It offers a range of banking services, including retail, corporate, and wealth management. Written By: Dipangshu Kundu Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in are their own, and not that of the website or its management.

Banking 98

Banking Distribution Valuation Retail 98

Trade Brains

JUNE 11, 2025

Its purpose is to protect market integrity, manage volatility, and protect investors from unjustified speculation and unusual price changes. Written by Satyajeet Mukherjee Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

Marketing 80

Marketing Marketing Engineering Investment Advisor 80

Trade Brains

JUNE 29, 2025

It offers products and services that help manage, distribute, and use electrical energy across utilities, industries, and consumer applications worldwide. Written By Fazal Ul Vahab C H Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

Electronics 80

Electronics Distribution Manufacturing Communication 80

Trade Brains

JULY 2, 2025

Written by Satyajeet Mukherjee Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in are their own, and not that of the website or its management. Investing in equities poses a risk of financial losses.

Communication 93

Communication Banking Accounting Investment Advisor 93