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Registered Rep.
March 1, 2008
Across the Pond Focus Financial Partners recently acquired U.K.-based Greystone Financial Services. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
January 2009
James J. Green
Focus Expands Catching Up With Rudy Adolf, CEO of Focus Financial Partners, buyer of advisory firms. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
October 2009
James J. Green
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms. mark for My Articles similar articles
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. mark for My Articles similar articles