Browsing Tag
Registered Investment Advisor (RIA)
53 posts
SageView Acquired by Private Equity Firm
Retirement planning and wealth management advisory firm SageView Advisory Group today announced a strategic investment from private investment…
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…
5 Guiding Principles for RIA Firm Success
Schwab Advisor Services released its annual RIA Benchmarking Study, which analyzes RIA trends with respect to firm growth,…
Steep Second Quarter Advisor M&A Drop, But Deal Size Hits Record
The pre-COVID M&A space saw multiples rapidly reaching ridiculous levels, not unheard of in booming economies with daily…
DOJ, Stockholders Approve $26 Billion Schwab-TD Ameritrade Merger
Major hurdles were cleared in the Charles Schwab/TD Ameritrade merger on Thursday, bringing the possibility of a combined…
RIA Channel Growth ‘Soars,’ According to Cerulli
We assume they mean pre-coronavirus crisis, but Cerulli Associates find that the advisor movement into the registered investment…
SEC Extends ADV Filing Requirements Due to COVID Concerns
Recognizing the impact that COVID-19 has on administration and compliance, the Securities and Exchange Commission said Wednesday that…
SEC Issues Temporary Coronavirus Relief for Advisors
The Securities and Exchange Commission will hold off on certain enforcement actions against registered investment advisors who can’t…