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Registered Rep. October 20, 2010 Charles Paikert |
Make Room For More Wealth Firms With National Reach The already crowded field of wealth management firms who want to go national is getting more crowded, still.  |
Financial Advisor November 2011 Evan Simonoff |
M&A Game Changer Leading custodians in the RIA space are offering acquisition financing to firms that do business with them.  |
Registered Rep. September 13, 2011 Charles Paikert |
Caryle Group's Stake in Avalon Highlights Hot Texas Wealth Management Market The Lone Star States' booming wealth management market is attracting considerable attention, most recently by private equity powerhouse The Caryle Group's purchase of the largest minority stake in Houston-based Avalon Advisors.  |
Registered Rep. October 25, 2010 Charles Paikert |
Fidelity Targets RIAs with UHNW Clients In an effort to attract more financial advisors who have -- or would like to have -- ultra-high-net-worth clients, Fidelity Investments is offering them the same high-end services it offers to family offices.  |
Registered Rep. August 26, 2011 Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm.  |
Registered Rep. June 1, 2005 Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice.  |
Registered Rep. October 15, 2010 Charles Paikert |
Schwab's Advisor Services Results Beg the Question: Has the Breakaway Brokerage Phenomenon Peaked? Has the great diaspora of breakaway brokers to Independence Land -- either independent b/ds or RIAs -- climaxed?  |
Registered Rep. August 8, 2011 Jerry Gleeson |
Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.  |
Registered Rep. March 2, 2015 Diana Britton |
Crowded Out Some level of competition between advisors and custodians has been around for years. Still, some advisors feel recent events make the distinction between business partner and market competitor less clear.  |
Registered Rep. July 19, 2011 Charles Paikert |
New Rankings: New York, Houston Shine As Wealth Management Hot Spots Wealth management firms who aren't doing business in the New York or Houston markets may be asking themselves why not.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
Registered Rep. November 1, 2004 David A. Geracioti |
Merrill Names Dallas Private Banking Head Mark Casey was moved to Merrill Lynch's new Private Banking and Investment Group office in Dallas, where he will oversee the so-called "Texas region" of that group.  |
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.  |
Financial Advisor November 2010 |
Frontline News Transparency comes to 401(k) fees... RIA to expand by offering advisors ownership stake... States getting ready for advisor oversight... Advising celebrities can be more pain than pizazz... Aspiriant buys Deloitte Investment Advisors...  |
Financial Advisor July 2008 Robert Casey |
Slower Build Growth slowed last year among in-dependent advisors, due to the lagging stock market.  |
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.  |
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.  |
Financial Advisor September 2012 |
RIA Acquisitions Poised To Accelerate A growing number of large RIAs are preparing their firms for sale, and more than a few are retaining investment bankers to draw up the required financial documents any acquirer would demand, according to Schwab Advisory Services.  |
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. May 13, 2009 Christina Mucciolo |
Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms.  |
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.  |
Registered Rep. October 11, 2011 Jerry Gleeson |
Schwab, CFP Board Advertising Campaigns Reach National Audience At least two national ad campaigns have been launched this year promoting segments of the financial advisory business.  |
Financial Planning August 1, 2010 Donna Mitchell |
Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice.  |
Investment Advisor August 2009 James J. Green |
Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab.  |
Registered Rep. March 28, 2012 Charles Paikert |
Branch Managers Are Key For Aggregator Growth There is growing demand for their talents in one corner of the wealth management universe: newly formed aggregators who are busy buying up firms and opening offices across the country.  |
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. December 6, 2010 Charles Paikert |
HighTower Adds East and West Coast Recruiters; Plans to Open Six New Offices by April HighTower, the fast-growing and well-funded Chicago-based advisory firm, has raised its profile again, hiring top recruiting executives from Charles Schwab and LPL Financial as it plans to open six new offices by April 2011.  |
Registered Rep. July 8, 2015 Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash.  |
Registered Rep. July 5, 2011 Jerry Gleeson |
Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year.  |
Financial Planning September 1, 2012 |
Calendar Insured Retirement Institute annual meeting... Financial Planning Association annual conference... Schwab Impact 2012...  |
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.  |
Financial Advisor July 2009 Eric Rasmussen |
Surviving The Storm Account sizes, staff and profits have shrunk, but far more firms gained clients than lost them.  |
Registered Rep. November 25, 2008 |
Fido Poaches Schwab RIA Executive Fidelity Investments negotiates a contract with the former head of Schwab's advisor business.  |
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. November 12, 2004 John Churchill |
Schwab to Cut Costs The nation's largest discount brokerage firm, Charles Schwab & Co., is cutting 19 retail branches in favor of smaller, one- or two-broker boutiques, a move the company says will cut costs and more effectively serve clients.  |
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.  |
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.  |
Registered Rep. February 26, 2013 Megan Leonhardt |
Let's Make A Deal The RIA M&A market is poised for growth, but not gaudy growth.  |
Registered Rep. November 8, 2011 Charles Paikert |
Liquidity Events Expected to Stimulate San Francisco Wealth Market A number of eagerly anticipated high-profile, high-tech liquidity events are bolstering the San Francisco Bay Area's reputation as one of the nation's most vibrant wealth management markets.  |
Registered Rep. April 1, 2007 John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne?  |
Financial Advisor March 2012 Bernie Clark |
The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them.  |
Financial Planning December 1, 2008 Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.  |
Registered Rep. October 1, 2005 John Kador |
Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.  |
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. June 29, 2009 Halah Touryalai |
Schwab Cuts Some Fees for 2009 In an effort to ease the financial pain of its registered investment advisors, Charles Schwab has announced a series of initiatives that will save them money.  |
Financial Planning March 1, 2011 Donna Mitchell |
Hot Topics M&A activity peaked in 2010... Advisors in touch... Untapped business serving retiring boomers...  |
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.  |
Financial Planning December 1, 2007 Jeanne Lee |
Fidelity Ups Its Game The Boston behemoth is introducing new, integrated technology that promises practice management nirvana. Will it captivate -- and capture -- the RIA market?  |
Registered Rep. October 30, 2014 Diana Britton |
The Rise of the Mini-Aggregator The rise of the "mini-aggregator" is an accelerating trend: Mature, established advisory firms who have built out their own infrastructure are realizing that they can rent out their back offices and operations.  |
Registered Rep. December 2, 2010 Susan Konig |
Former Branch Manager Recruits UBS Advisors With $1 billion Two advisors from UBS' Houston branch resigned from the firm to join their former UBS branch office manager, Patrick Mendenhall, at Houston-based U.S. Capital Advisors, the wealth management advisory firm he formed in September  |