More in RIAs

  • Dec 11, 2014
    Article

    Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs

    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....More
  • Dec 9, 2014
    blog

    SEC Examination Schedule Unlikely to Change. But Does It Need to?

    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....More
  • Nov 11, 2014
    blog

    LPL Adds $520M Firm To Hybrid RIA Platfrom

    Baton Rouge, LA-based Goss Wealth Management hopes to use LPL's broker/dealer and hybrid RIA platform to become a super-OSJ in the Gulf South region....More
  • Nov 4, 2014
    data table
    REP.

    Top 100 RIAs 2014  

    REP.'s Top 100 RIA list was assembled using data from Meridian-IQ (in which Penton Media has a stake). Advisory firms are ranked by total assets under management....More

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