RIAs http://wealthmanagement.com/taxonomy/term/39411/more en SEC Investor Advocate Urges Increased RIA Oversight http://wealthmanagement.com/rias/sec-investor-advocate-urges-increased-ria-oversight <div class="node-body article-body">In his first "Report on Activities," SEC Investor Advocate Rick Fleming urged the SEC to increase oversight of RIAs, and Congress to provide more funding. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/rias/sec-investor-advocate-urges-increased-ria-oversight" target="_blank">read more</a></p> http://wealthmanagement.com/rias/sec-investor-advocate-urges-increased-ria-oversight#comments Industry RIAs News Wed, 24 Dec 2014 17:02:00 +0000 738601 at http://wealthmanagement.com <p>SEC Investor Advocate Rick Fleming</p> Most RIAs Spend 2% of Revenue on Marketing http://wealthmanagement.com/marketing/most-rias-spend-2-revenue-marketing <div class="node-body article-body">RIA firms spend an average 2 percent of total revenue on marketing and business development, according to the 2014 Fidelity RIA Benchmarking Study. “You got to dedicate some time and some money,” said Fidelity's David Canter. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/marketing/most-rias-spend-2-revenue-marketing" target="_blank">read more</a></p> http://wealthmanagement.com/marketing/most-rias-spend-2-revenue-marketing#comments RIAs Marketing Wed, 17 Dec 2014 13:00:00 +0000 732981 at http://wealthmanagement.com United Capital Still Acquiring, But in a More Selective Way http://wealthmanagement.com/rias/united-capital-still-acquiring-more-selective-way <div class="node-body article-body">United Capital hasn't given up on its acquisitions strategy, with its latest purchase of a Houston-area RIA with $500 million in assets. But the firm is being more selective. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/rias/united-capital-still-acquiring-more-selective-way" target="_blank">read more</a></p> http://wealthmanagement.com/rias/united-capital-still-acquiring-more-selective-way#comments RIAs United Capital Tue, 16 Dec 2014 13:46:00 +0000 732711 at http://wealthmanagement.com <p>Joe Duran, CEO of United Capital, in his home in Newport Beach, Calif.<br /> &nbsp;</p> Photo by Joseph Llanes MarketCounsel Summit 2014 Twitter Round-Up http://wealthmanagement.com/rias/marketcounsel-summit-2014-twitter-round <div class="field-byline"> WealthManagement.com Staff </div> <div class="field-deck"> The event touched down at the Four Seasons in Las Vegas, Nev. this year, drawing in hundreds of RIAs and industry professionals. </div> <div class="node-body article-body">The event touched down at the Four Seasons in Las Vegas, Nev., this year, drawing in hundreds of RIAs and industry professionals. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/rias/marketcounsel-summit-2014-twitter-round" target="_blank">read more</a></p> http://wealthmanagement.com/rias/marketcounsel-summit-2014-twitter-round#comments RIAs Careers Thu, 11 Dec 2014 19:47:00 +0000 729231 at http://wealthmanagement.com Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs http://wealthmanagement.com/blog/former-sec-chair-harvey-pitt-endorses-third-party-examiners-rias <div class="node-body blog-body">Every single investment advisory firm registered with the Securities and Exchange Commission should be examined every year, said Harvey Pitt, the former SEC commissioner, and the SEC should certify outside auditors to conduct the exams.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/advisor-intelligence">Advisor Intelligence </a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/former-sec-chair-harvey-pitt-endorses-third-party-examiners-rias" target="_blank">read more</a></p> http://wealthmanagement.com/blog/former-sec-chair-harvey-pitt-endorses-third-party-examiners-rias#comments RIAs Blogs Regulation & Compliance Advisor Intelligence Thu, 11 Dec 2014 14:23:00 +0000 728771 at http://wealthmanagement.com Six RIA Insights from the Custodians http://wealthmanagement.com/rias/six-ria-insights-custodians <div class="node-body gallery-body">At the MarketCounsel annual conference, executives from three of the four major custodians took the stage to discuss the landscape of the RIA industry and the challenges they see ahead.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/rias/six-ria-insights-custodians" target="_blank">read more</a></p> http://wealthmanagement.com/rias/six-ria-insights-custodians#comments Industry RIAs Wed, 10 Dec 2014 19:40:00 +0000 728111 at http://wealthmanagement.com SEC Examination Schedule Unlikely to Change. But Does It Need to? http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need <div class="node-body blog-body">Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team on Tuesday.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need#comments RIAs Blogs Rulebook Tue, 09 Dec 2014 21:36:00 +0000 727201 at http://wealthmanagement.com HighTower Network Recruits $225 Million Merrill Lynch Advisor http://wealthmanagement.com/rias/hightower-network-recruits-225-million-merrill-lynch-advisor <div class="node-body article-body">A Merrill Lynch advisor with $225 million in assets has joined a HighTower Network independent firm. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/rias/hightower-network-recruits-225-million-merrill-lynch-advisor" target="_blank">read more</a></p> http://wealthmanagement.com/rias/hightower-network-recruits-225-million-merrill-lynch-advisor#comments Industry RIAs HighTower Advisors Mon, 08 Dec 2014 18:23:00 +0000 726031 at http://wealthmanagement.com Top Due Diligence Questions for Finding the Right Hybrid RIA Platform http://wealthmanagement.com/careers/top-due-diligence-questions-finding-right-hybrid-ria-platform <div class="field-byline"> Michael C. Bryan </div> <div class="node-body article-body">The key to success in serving hybrid RIA firms is to maintain a strong emphasis on choice and flexibility. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/careers/top-due-diligence-questions-finding-right-hybrid-ria-platform" target="_blank">read more</a></p> http://wealthmanagement.com/careers/top-due-diligence-questions-finding-right-hybrid-ria-platform#comments RIAs Careers Thu, 04 Dec 2014 15:28:00 +0000 723531 at http://wealthmanagement.com enisaksoy/iStock/Thinkstock HighTower Partners With Envestnet Retirement Solutions http://wealthmanagement.com/retirement-planning/hightower-partners-envestnet-retirement-solutions <div class="node-body article-body">A new partnership between HighTower and Envestnet aims to give independent advisors more tools to serve retirement plans. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/retirement-planning/hightower-partners-envestnet-retirement-solutions" target="_blank">read more</a></p> http://wealthmanagement.com/retirement-planning/hightower-partners-envestnet-retirement-solutions#comments RIAs Technology Retirement Planning Wed, 03 Dec 2014 20:44:00 +0000 722941 at http://wealthmanagement.com