Tag: RIAs

Expectations for RIA valuations and M&A activity reach lowest levels in five years of annual surveying by DeVoe & Company.

Investment advisers are prioritizing talent acquisition and retention due to client growth and strong business performance, according to Charles Schwab.

SageView CEO Randy Long discusses the firm's most recent acquisitions, and what types of advisers it will be focused on...

Financial Regulator FINRA issues guidance on succession planning for the graying adviser space, including small firms looking to sell.

Under the proposal, registered investment advisers and investment companies would have to adopt and implement written cybersecurity policies and procedures ‘reasonably designed to address cybersecurity risks.’

Many firms that have acquired established retirement plan advisory practices primarily focus on wealth management or insurance, underscoring their interest in more diversified service models and in accessing...

Fidelity research shows nearly every month in 2021 has seen several highly recognizable adviser industry names join the ranks of sellers, with November being no exception.

SEC Chair Gary Gensler says the emergence of new investment technologies that embrace gamification and collect user data raises questions as to whether investors are appropriately protected.

The COVID-19 pandemic has presented an opportunity for firms to reconsider their physical footprint and relocate their headquarters to new areas that better suit their needs.

OneDigital and Ascensus recently announced the availability of a ‘co-created small market solution,’ making OneDigital the latest adviser aggregator to launch a DC plan solution targeted at small...

Data from Echelon Partners shows the number of adviser or adviser team ‘breakaways’ declined by nearly 20% in 2020 versus 2019. However, 2019 set the record for breakaway...

Though the whole year and the final quarter, especially, have already delivered impressive numbers, there are expectations that some additional major transactions could soon be announced.

Allianz Life launches solutions platform for RIAs; Wilmington Trust adds sign-on program; Columbia Threadneedle announces 2021 successor; and more.

Industry executives also say that valuations for strong companies are holding steady, even as the pandemic raises broader economic challenges.

Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.

However, fewer RIAs and fee-based advisers expect consolidation to increase in the next 12 months, compared to five years ago.

Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the...

They see the differences between wirehouses, broker/dealers and registered investment advisers blurring.