Chris Moore of Simon Quick Advisors doesn’t think there’s necessarily anything wrong with accepting private equity…
Tag: RIAs
Mather Group, Great Diamond Add RIAs
The Mather Group Lands Fourth Bay Area-Based RIA The Mather Group, a Chicago-based registered investment advisor…
When should a financial advisor launch an RIA?
This story is the first in a series Financial Planning Chief Correspondent Tobias Salinger is writing…
Judge sentences advisor who sold to WEG in fraud case
A disgraced investment advisor who sold her practice to Wealth Enhancement Group before becoming the subject…
How AI reduced the need for a virtual assistant: Show Me Your Stack
Welcome to “Show Me Your Stack,” a series from Financial Planning in which we interview those…
Schwab to Launch Membership Program Targeting Breakaway RIAs
Charles Schwab’s advisor services division is launching a membership program in July in a move that…
COVID-19 changed where financial advisors live. Here’s how
Financial advisors work where the money is, or at least that’s what the conventional wisdom says.…
Is scale a necessary evil in wealth management?
What do Morgan Stanley, Schwab, Edward Jones and Creative Planning have in common? Louis Diamond is…
FINRA feels broker pushback on side-business proposal
Brokers and industry groups are greeting a FINRA proposal meant to relax advisors’ obligation to report…
RIAs More Hesitant on Direct Indexing Than Wirehouse Peers
Registered investment advisors are more hesitant to use direct indexing than their wirehouse peers for reasons…
How financial advisors can avoid bad private equity deals
Private equity investors’ pitches to financial advisors often feature tempting bid prices and promises for the…
Why Dynasty built a data lake for its AI-driven platform
Partnering with around 60 firms representing more than 400 advisors with over $100 billion in platform…
Going beyond the standard wealthtech choices: Show Me Your Stack
Welcome to “Show Me Your Stack,” a series from Financial Planning in which we interview those…
How one RIA found its succession plan
Financial advisors face twin business challenges that are difficult to accomplish at the same time: succession…
How consolidators balance RIA autonomy, platform uniformity
With thousands of independent advisory firms spread across the U.S., the wealth management industry remains highly…
Recalling Warren Buffett’s Investing Influence on RIAs
The financial world, including advisors, was buzzing this weekend after Warren Buffett unexpectedly announced he would…
More RIAs Are Using Multiple Custodians
More registered investment advisors are using multiple custodians for client assets, as measured by looking at…
Schwab Hires Back Exec From LPL to Work with Big RIAs
Charles Schwab has brought back a former employee to take on a newly created role working…