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Registered Rep. March 1, 2008 |
Across the Pond Focus Financial Partners recently acquired U.K.-based Greystone Financial Services.  |
Registered Rep. March 1, 2007 |
Gobbling Up RIAs The RIA holding company Focus Financial recently snatched up three more firms, bringing total acquisitions to 9 and assets under management to $15 billion.  |
Investment Advisor November 2006 James J. Green |
Good Time to Be an RIA If Deborah McWhinney should ever want to change jobs, she could easily become the RIA community's designated cheerleader.  |
Registered Rep. September 2, 2015 Megan Leonhardt |
Volatility Not Enough to Slow RIA M&A Deals The first half of 2015 saw a significant increase in merger and acquisition activity among registered investment advisory firms.  |
Registered Rep. September 3, 2009 Mindy Diamond |
Talking To Clients About Breaking Away Here are some starting points for advisors to begin a conversation with clients about deciding to establish themselves as an RIA or joining an existing one.  |
Registered Rep. December 1, 2006 Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses.  |
Investment Advisor January 2009 James J. Green |
Schwab Reorganizes; Fidelity Hires; Pershing Provides The three major custodians of RIA assets announce big executive changes and a new practice management program.  |
Financial Planning November 1, 2009 Menchaca & Schultz |
Citi Limits? Citi Personal Wealth Management's plan to build a fee-only investment advisory business, announced on Oct. 5, is a bold move into the RIA space.  |
Investment Advisor January 2008 |
Back Office Deal A strategic deal between Charles Schwab and a back-office consulting firm will afford RIAs more outsourcing options.  |
Investment Advisor November 2009 James J. Green |
B/D Briefing: Citi Brokers Switch to Fees Citi Personal Wealth Management announces that the brokers who operate in Citibank branches will change their compensation models immediately from commissions to fees.  |
Registered Rep. February 19, 2009 Halah Touryalai |
Where the Sellers At? RIAs are Holding Out for Better Deals Schwab executives predicted a decline mergers & acquisitions between RIAs in 2009, as potential sellers hold out for a stronger market and a better deal.  |
Registered Rep. February 2, 2011 Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years.  |
Financial Planning September 1, 2011 Donna Mitchell |
Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs.  |
Registered Rep. January 25, 2010 Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.  |
Registered Rep. April 15, 2010 Halah Touryalai |
RIA M&A Deals Break Record in First Quarter Mergers and acquisitions seem to be crawling back to the top of RIA principals' to-do lists this year, as the first quarter's numbers show record activity. What is your practice worth?  |
Registered Rep. May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.  |
Registered Rep. July 29, 2010 Halah Touryalai |
RIAs Keep Up M&A Momentum RIAs continue to buy and sell their businesses this year as M&A deals in the industry reach record levels.  |
Registered Rep. April 1, 2010 Halah Touryalai |
Citi's Covert Makeover It's a major shift in business for an entire unit to leap in the fee-only RIA world.  |
Investment Advisor January 2009 James J. Green |
Focus Expands Catching Up With Rudy Adolf, CEO of Focus Financial Partners, buyer of advisory firms.  |
Registered Rep. October 24, 2007 Halah Touryalai |
The New New RIA Model: Sharing Back Offices The barriers to going independent are shrinking. Don't believe it? Check out Mraz, Amerine & Hirschler & Associates, a firm launched by three wirehouse advisors who left Morgan Stanley earlier this month with $400 million in client assets.  |
Registered Rep. July 16, 2009 Halah Touryalai |
Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform.  |
Registered Rep. October 30, 2007 Halah Touryalai |
Impact This! Schwabbies Descend Upon Vegas They didn't get to "Talk to Chuck," but attendees of the 2007 Schwab IMPACT conference did get a chance to talk to Walt Bettinger, president and chief operating officer, as well as Charles Goldman, executive vice president of Schwab Institutional in an afternoon Q&A session.  |
Registered Rep. June 1, 2005 |
A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses.  |
Investment Advisor July 2007 James J. Green |
McWhinney Out, Goldman In Deborah McWhinney, president of Schwab Institutional since 2001, resigned her position and has been succeeded by Charles Goldman, SI's COO.  |
Financial Advisor January 2008 Bruce W. Fraser |
Growing Up Over the next five years, the typical RIA will undergo rapid transformation, and the average RIA firm is expected to at least triple in size. To accommodate such growth, hiring decisions will become critical, stretching far beyond the traditional tendency of firms to simply add more advisors.  |
Registered Rep. December 2, 2008 Halah Touryalai |
RIA Consolidators Going After Wirehouse Reps RIA holding companies are opening their arms to welcome wirehouse advisors, but only the cream of the crop: those who have significant assets under management and heavily fee-based books.  |
Registered Rep. June 16, 2008 |
Rival Firm Settles With RIA Database RIA Database, a financial services software firm, announced today the end of a yearlong legal battle with the company's chief rival, Discovery Database.  |
Financial Advisor July 2012 Bernie Clark |
The RIA Universe Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field.  |
Registered Rep. November 26, 2010 Charles Paikert |
RIA M&A Deals On Track To Top 2009 Total The number of mergers and acquisitions completed in the registered investment advisor business through the third quarter of this year is near full-year totals for 2009, according to data from Schwab Advisor Services.  |
Registered Rep. November 18, 2008 Brooke Southall |
Schwab Re-Org Combines RIAs With Retirement Biz Schwab Institutional had an awesome year in 2008, but it isn't resting on it's laurels. Schwab is reorganizing, removing a well-respected executive, and combining the RIA unit with the retirement and corporate services unit.  |
Registered Rep. September 20, 2011 Jerry Gleeson |
Big-Time Rollups Continue; Focus Financial to Acquire Colony Group This is Focus' fourth deal so far this year, and will make Focus a $45 billion player.  |
Financial Advisor January 2004 Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers.  |
Registered Rep. April 6, 2010 Kristen French |
Custodians In Race To Roll Out M&A Tools TD Ameritrade Institutional is rolling out a new online business valuation tool.  |
Investment Advisor July 2008 James J. Green |
Catching up with... Mark Tibergien The CEO of Pershing Advisor Solutions discusses why it's a good time to be a seller of an RIA firm, according to the latest research on mergers and acquisitions activity in the advisory market.  |
Financial Planning May 1, 2010 Donna Mitchell |
Advisory Pulse Registered investment advisory firms, especially small ones, are returning to the bargaining table this year; in the first quarter, RIA firms completed 24 merger and acquisition deals.  |
Investment Advisor April 2008 |
Overseas Acquisition Focus Financial Partners has agreed to acquire Manchester, England-based Greystone Financial Services Ltd., making the U.K. wealth management firm the 15th "partner firm" in the Focus Financial stable.  |
Registered Rep. May 21, 2007 Halah Touryalai |
Schwab Institutional President "Retires" Deborah McWhinney, president of Schwab Institutional, retired this morning at the age of 52, something communicated to the firm's advisors and employees via e-mail.  |
Investment Advisor June 2009 |
Changes People on the move: Debbie McWhinney head of Citi Personal Wealth Management... Lynn Turner named senior advisor and managing director in the forensic accounting practice of LECG... Dennis Klaeser recently joined Raymond James... more...  |
Investment Advisor March 2010 Robert F. Keane |
Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs.  |
Registered Rep. March 1, 2008 Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.  |
Financial Advisor June 2006 Cort Smith |
Focused On Big Focus Financial has become one of the largest RIAs only months after it opened its doors. Founder Rudy Adolf says they're just getting started.  |
Registered Rep. September 22, 2008 John Churchill |
Wall Street's Pain Is RIAs' Gain: Reps Flee Wirehouses, Bring Assets to Fido And Others Despite the still-outsized signing bonuses offered by most Wall Street firms, the steady trickle of brokers leaving wirehouse firms to join or form their own RIA firms is growing.  |
Financial Planning May 1, 2011 Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost.  |
Registered Rep. March 1, 2008 |
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses.  |
Financial Planning June 1, 2009 Donna Mitchell |
M & A: Who's Buying? Forget the dearth of capital afflicting the rest of the financial industry: RIA firms have access to plenty of money for mergers and acquisitions.  |
Financial Planning November 1, 2007 Elizabeth O'Brien |
A Visionary Move An interview with Mark Tibergien, a well-known and respected consultant at Moss Adams, as he takes the helm at Pershing Advisor Solutions.  |
Financial Planning September 1, 2006 Elizabeth O'Brien |
Target: RIAs The New York City-based company has expanded well beyond its roots as a discount brokerage for do-it-yourself investors. E*Trade seals a greater foothold in the crowded wealth management arena.  |
Registered Rep. October 15, 2009 Christina Mucciolo |
Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year.  |
Investment Advisor October 2009 James J. Green |
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms.  |
Investment Advisor March 2008 James J. Green |
One Down, How Many to Go? Ken Fisher's the biggest RIA out there, but his firm just got a little bigger by acquiring a much smaller RIA. It's likely the first of many.  |