Tag: RIAs

DeVoe’s Q3 M&A report shows overall dealmaking in the advisory space is trending toward a down year, with the retirement...

The founder, former CEO and now chairman also says serving participants—in or out of plan—will be key to succeeding amid...

Equity from Carlyle will be used to advance CAPTRUST’s M&A strategy in both wealth management and retirement, says CAPTRUST president.

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice.

The Standard and NFP launch PEP solution; Flywire and Vestwell partner to streamline 529 college plan payments; CalSTRS and Sapphire...

One of the commonly missed opportunities for growing a retirement or wealth advisory business is executive financial consulting, according to...

Cetera acquires tax-focused wealth manager Avantax for $1.2B; Investment Consulting Group joins Osaic; Hub International acquires assets of Dieffenbach Benefits...

Advisers and plan sponsors working with Banco Popular will have access to Future Capital’s 401(k) managed accounts and personalized savings...

Deal to connect 401(k) accounts to wealth advisory signals further push in retirement and wealth management convergence, says Future Capital...

Latest research found 45% of investors prefer an adviser affiliated with a national firm when they are nearing retirement.

Another financial investment advisory can now bring clients’ “held-away” retirement saving accounts under management.

Innovest adds Jansson as retirement plan consultant; Wealth Enhancements adds $341M First Capital Advisors; Latimer joins Steward Partners in Florida...

Newfront hires Sakata, Nelson to retirement services team; Bartlett joins Choreo as SVP of advisers; startup AdvisorCheck taps former RIA...

Nationwide and MassMutual team up on advisory annuities; Integrity launches AI-driven tech for agents and clients; NewEdge debuts investment platform...

RIA Burney gives Goldman Advisor Solutions another win; LPL advisers now have access to PreciseFP client engagement tools; Cetera adds...

LPL brings on $6.5B RIA; Sanctuary snags former UBS firm; Steward acquires Vantage Point from Merrill; and more.

Sequoia Financial adds $387M wealth manager; Pathstone adds Veritable to further focus on ultra-high-net-worth clients; and Savant Wealth buys combined...

Advisers also turned to personalized options such as direct indexing to stand out for clients. 

High interest rates, inflation and uncertainty are depressing RIA dealmaking.

The bill would require the SEC to study and update its definition of ‘small entity,’ which could significantly impact independent...