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Currently, only sub-$25-million AUM RIAs, get accorded 'small-entity' regulatory status, which is burdensome for tens of thousands of small practices, says Independent Adviser Association, though ideally a metric other than AUM should define size
In a Q&A, the RIA attorney explains the wild amount of work and creativity he and his firm expend and how the protocol for a 3 pm espresso at one industry event captured what he doesn't like about the new RIA confab era.
Online Trump acolyte Ryan Fournier incited attacks on Brian Hamburger's firm without fact-checking connection or reaching out for comment. .
Some insurers saw a spike in 2022 claims although exerience varied, and impact was mitigated by shared risk.
The Creative Planning CEO says he is developing 'United Capital 2.0' on the fly to combat distrust and his Zoom ofensive is netting results
The Creative Planning CEO only paid a 'not material' price to Goldman Sachs to make a potentially quantum leap ahead toward dominance in the 'national RIA' race
The principals of MarketCounsel and Dynasty Financial go all-in on software that keeps RIAs all good with the SEC -- without being all-consumed by an unrelenting task.
Goldman Sachs used the low key, high traffic event in Nevada to signal to the RIA vendor crowd it's raring to get going with breakaway brokers,
The spike in RIAs outsourcing functions formerly kept in-house triggered the crackdown, but is the red tape worth it? advisors ask
Despite opposition from at least 4% of its own members, the Financial Planning Association is seeking to quash quackery by making it illegal for a product salesman to get labeled as a planner -- a fight that Nerd's Eye View took up last year.
Attendees made the trek to the Fontainebleau Hotel Resort amid health precautions to high-five flesh and do a very in-person reality check
Thousands of clients may be getting lost in the shuffle in the face of strong inorganic RIA growth -- an obscure problem until federal regulators gave Regal Investment Advisors the royal treatment, in part, for charging full fees and failing to disclose reduced service.
The custodian to 10,000 RIAs follows a like move by Fidelity to bring RIAs into the loop on how much recruiters are paid and who pays what amount
In a world where RIAs often accept lunches from a wholesalers, the New York wirehouse's out-of-the-blue change of heart has the lawyer saying it looks more like a way of bolstering its position as the intermediary
New deals reflect branches/centralized decision-making as albatrosses in virtual world; Northern Florida is case in point -- sheltering at home is not the local practice.
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