Browsing Tag
Registered Investment Advisor (RIA)
58 posts
Buying Spree: Mariner Wealth Advisors Acquires Yet Another RIA
Kansas City-based RIA firm Mariner Wealth Advisors extended its summer streak of growth with yet another acquisition announcement…
ESG Matters Listed Among SEC’s 2021 Exam Priorities
SEC 2021 Examination Priorities highlight Reg BI, Form CRS, COVID-19 impacts, and ESG focus for firms and financial advisors.
Key Findings from Schwab’s Latest RIA Compensation Report
Compensation costs make up nearly three-quarters (74%) of the typical RIA firm’s expenses, and median cash compensation at…
Creative Planning’s Buying Spree Extends into 2021 with Biggest Deal Yet
Creative Planning Inc., one of the nation’s largest Registered Investment Advisers (RIAs), announced Feb. 4 it has acquired…
Lincoln Financial Adds Advisor Managed Accounts Service
Advisor Managed Accounts from Lincoln Financial give RIAs tools to personalize retirement portfolios and help participants reach goals.
SageView Acquired by Private Equity Firm
SageView Investment marks a strategic partnership with Aquiline Capital Partners to fuel growth in retirement and wealth management.
Scale Takes Center Stage as RIAs Continue to Compete
It’s been said time and again—scale is key. However it’s achieved, through technology, acquisition, or something completely different,…
The RIA Industry Experiences Steady Growth
The investment advisor industry continued to experience record-level growth through 2019, including in the number of registered advisors…
Schwab Finalizes $22 Billion TD Ameritrade Acquisition
Charles Schwab today announced that it has completed its acquisition of TD Ameritrade, in an all-stock deal valued at $22 billion.
5 Guiding Principles for RIA Firm Success
RIA firms entered 2020 from a position of strength with robust five-year growth trends across assets under management (AUM), revenue, and clients.