SYM Financial Corp.’s roots go back 60 years—plenty of time to have explored a few business iterations. The firm sold insurance and other products and operated a record-keeping business for 401(k) plans...
Derek Holman and Brian E. Parker had a leg up on their peers when they founded EP Wealth Advisors, an RIA in Torrance, Calif., in 1999. The two, ages 43 and 42, respectively, have been friends since middle school and...
Jeff Dekko, chief executive at Wealth Enhancement Group in Plymouth, Minn., says his hybrid RIA has big expansion plans, but he denies buying businesses simply for their size. He wants the firm to become a national...
With the Department of Labor’s release in April of rules governing new fiduciary responsibilities for advisors who advise on retirement plans, FAs large and small are beginning to come to terms with what will be...
Three years ago, state examiners supplanted the SEC as overseers for thousands of mid-level RIAs, prompting dire warnings of death by inept bureaucracy. What actually happened? These advisors lived to tell the tale...
The independent channel is still the fastest growing advisory model, a trend that should continue despite the rise of robo-assisted, do-it-yourself investors.
Amin Dabit is not a robot.
He is a financial advisor who began his advisory career in a very conventional way. He was an intern at UBS, earned his CFP, and signed up with Merrill Lynch in 2008. He helped clients w...
The adage to “invest when there’s blood in the streets” could easily apply to aggregators of registered investment advisors in the period after the 2008 crash. For firms with national aspirations and hunger for sc...
