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RIA

Schwab's Bettinger to Investors: We Love Small RIAs Schwab's Bettinger to Investors: We Love Small RIAs

During a call with investors, CEO Walt Bettinger dismissed speculation that the firm is interested only in $1 billion-plus RIAs as 'inaccurate, naïve and inconsistent with everything that we have done for the last 25 or 30 years in the RIA space.'

byDiana Britton, Managing Editor

Feb 5, 2020

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1 Min Read

Transparency with Diana B podcast

Transparency With Diana B.: Focus on Outcomes, Not Income Transparency With Diana B.: Focus on Outcomes, Not Income

byDiana Britton

Feb 5, 2020

Ameriprise came in second with 7540 advisors last year

Ameriprise Grabs Florida Father/Son Advisor Team Ameriprise Grabs Florida Father/Son Advisor Team

byPatrick Donachie

Feb 4, 2020

1 Min Read

Salvatore Dispenziere III

SagePoint OSJ in New Jersey Leaps to LPL SagePoint OSJ in New Jersey Leaps to LPL

byDiana Britton

Feb 3, 2020

1 Min Read

Former Financial Advisor Found Guilty on 11 Fraud Charges Former Financial Advisor Found Guilty on 11 Fraud Charges

byErick Bergquist

Feb 3, 2020

1 Min Read

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Why RIAs Buy Growth Why RIAs Buy Growth

byDavid Armstrong

Jan 31, 2020

1 Min Read

People's United Bank

People's United Bank Hires Wealth Management Head From HSBC

People's United Bank Hires Wealth Management Head From HSBC

byPatrick Donachie, Senior Reporter

Avantax CEO Chris Walters

Blucora Pulls New CEO From Board of Directors

Blucora Pulls New CEO From Board of Directors

byDiana Britton, Managing Editor

SEC seal

SEC: Broker Stole $2.4 Million From Clients

SEC: Broker Stole $2.4 Million From Clients

byPatrick Donachie, Senior Reporter

Shawn Wooden

Former NFL Star Shawn Wooden Joins Florida Firm to Build Out Sports, Entertainment Division

Former NFL Star Shawn Wooden Joins Florida Firm to Build Out Sports, Entertainment Division

byPatrick Donachie, Senior Reporter

courtroom judge bench

Indiana Advisor Accused of Losing $1.3 Million in Client Assets

Indiana Advisor Accused of Losing $1.3 Million in Client Assets

byPatrick Donachie, Senior Reporter

Kirstin Hill

Merrill Lynch Promotes Kirstin Hill to COO

Merrill Lynch Promotes Kirstin Hill to COO

byErick Bergquist

Carolyn McClanahan to Leave Whealthcare Planning

Carolyn McClanahan to Leave Whealthcare Planning

bySamuel Steinberger, Senior Technology Editor

Jack Brod

New CFP Board Chair Pledges 'Governance Review and Reform' in 2020

New CFP Board Chair Pledges 'Governance Review and Reform' in 2020

byPatrick Donachie, Senior Reporter

FSI Elects New 2020 Board of Directors

FSI Elects New 2020 Board of Directors

byPatrick Donachie, Senior Reporter

Stratford Consulting team

Creative Planning Acquires Stratford Consulting in Dallas

Creative Planning Acquires Stratford Consulting in Dallas

byErick Bergquist

mergers fish money

DeVoe: RIA M&A Could Hit Over 40 Transactions Per Quarter in 2020

DeVoe: RIA M&A Could Hit Over 40 Transactions Per Quarter in 2020

byErick Bergquist

All-Women Advisory Team With $335 Million AUM Joins Janney

All-Women Advisory Team With $335 Million AUM Joins Janney

byPatrick Donachie, Senior Reporter

Cerity Partners Adds $1 Billion AUM Sullivan & Serwitz in California

Cerity Partners Adds $1 Billion AUM Sullivan & Serwitz in California

byErick Bergquist

FINRA

FINRA Names Jessica Hopper Head of Enforcement

FINRA Names Jessica Hopper Head of Enforcement

byPatrick Donachie, Senior Reporter

John Clendening

Blucora CEO John Clendening Steps Down

Blucora CEO John Clendening Steps Down

byDiana Britton, Managing Editor

SEC Commissioner Robert J. Jackson Jr. (L) and Securities and Exchange Commission Chairman Jay Clayton

SEC’S Jackson Leaving Next Month to Return to Teaching at NYU

SEC’S Jackson Leaving Next Month to Return to Teaching at NYU

byBen Bain and Andrew Ramonas

4. First Republic’s Purchase of Constellation Wealth Advisors

First Republic Adds Florida Wealth Managers from J.P. Morgan Securities

First Republic Adds Florida Wealth Managers from J.P. Morgan Securities

byPatrick Donachie, Senior Reporter

Miracle Mile Advisors Launches Institutional Division With Payden & Rygel Team

Miracle Mile Advisors Launches Institutional Division With Payden & Rygel Team

byAsia Martin, Reporter

Matt Brinker

What’s Merchant Building?

What’s Merchant Building?

byDiana Britton, Managing Editor

A Fresh Round of First-Timers Headlines RIA M&A in 2019

A Fresh Round of First-Timers Headlines RIA M&A in 2019

byErick Bergquist

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Stuart Heckman Named Academic Editor for Journal of Financial Planning

Stuart Heckman Named Academic Editor for Journal of Financial Planning

byAsia Martin, Reporter

BDO

Accounting Firm BDO USA Acquires Maryland RIA Biegel Waller

Accounting Firm BDO USA Acquires Maryland RIA Biegel Waller

byAsia Martin, Reporter

Martine Lellis

RIA Exec Martine Lellis Jumps to Mercer Advisors

RIA Exec Martine Lellis Jumps to Mercer Advisors

byDiana Britton, Managing Editor

Cerity Partners Merges With $3 Billion AUM RIA EMM Wealth

Cerity Partners Merges With $3 Billion AUM RIA EMM Wealth

byErick Bergquist

Rick Suarez

Citizens Bank-Owned RIA Clarfeld Names Rick Suarez New CEO

Citizens Bank-Owned RIA Clarfeld Names Rick Suarez New CEO

byDiana Britton, Managing Editor

merger bridge

New England Capital, St. Germain Investment Management Merge

New England Capital, St. Germain Investment Management Merge

byAsia Martin, Reporter

John Muschalek

Dallas B/D Hilltop Securities Names New Head of Wealth Management

Dallas B/D Hilltop Securities Names New Head of Wealth Management

byErick Bergquist

David Tittsworth at the 2014 IAA Conference

Industry Mourns the Passing of Longtime RIA Advocate David Tittsworth

Industry Mourns the Passing of Longtime RIA Advocate David Tittsworth

byDiana Britton, Managing Editor

RIAs Make Little Change to Portfolios in Wake of Free Trades

RIAs Make Little Change to Portfolios in Wake of Free Trades

byErick Bergquist