Browsing Tag
Registered Investment Advisor (RIA)
52 posts
SEC Fines Idaho RIA for Missteps Related to ‘Biblically Responsible Investing’ Strategy
$300,000 penalty levied as firm made investments contrary to its stated investment criteria
RIA M&A Activity Up 20% in Q1 2024
Report says it was the second most active first quarter on record
Modern Wealth Launches Retirement Plan Advisory Biz with Deal for $1.2B N.Y. Firm Beltz Ianni
Sixth acquisition less than a year after launch adds retirement plan service offering for small-to-midsize companies
Brandon Budd Promoted to President of Retirement Services at intellicents
He succeeds company Co-Founder Grant Arends in the role, who is transitioning to President of intellicents investment solutions, the firm’s RIA arm
Organic Growth Drove a Positive 2022 for RIA Firms
A new RIA Benchmarking Study from Charles Schwab found client growth increased 6.2% across all firms
Altruist Gears Up to Challenge Fidelity and Schwab in $128 Trillion RIA Market
Jason Wenk’s 5-year-old fintech with heavyweight investors is now the third-largest custodian in the U.S. by number of firms served
CAPTRUST Acquires $5.8B RIA Firm
The deal marks the first acquisition for CAPTRUST in 2023 and the 64th since 2006
Two 401k-Focused RIAs Tap Fintech Vise for AI-Powered Custom Portfolios
Vise announces Greenstone Wealth Management and CPR Financial and Insurance Services are now using its platform
RIA Combo with a Side of Capital Investment: One Seven, MGO Merge
New combined company oversees $2.8 billion in assets across 11 states as it enters next stage of growth with Merchant partnership
Record Growth for RIA Firms, Report Confirms
IAA, NRS “Investment Adviser Industry Snapshot 2022” shows record highs in firms, aggregate assets they manage, and clients