Browsing Tag
Registered Investment Advisor (RIA)
58 posts
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 of COVID-19 has, the SEC said it is further extending filing dates for certain regulatory requirements, including Form ADV.
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…
RIA M&A Decade in Review (and 2020-2029 Preview)
Succession Resource Group released its 10-year retrospective look at the state of the mergers and acquisitions for independent RIAs and advisors.
Fidelity Opens its HSA Platform to Advisors
Financial mega-firm Fidelity Investments has made what it claims is the industry’s “only full-service health savings account (HSA)”…
RIAs Top-of-Mind in SEC’s Just-Released 2020 Exam Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities,…
Massive M&A Opportunity for RIAs
New research from Cerulli Associates finds that the total market for registered investment advisor (RIA) acquisitions over the…
RIAs Still Missing From Social Media Bandwagon
RIA social media usage lags well behind that of financial advisors, according to a new study from American Century Investments.