How to Start Your Own RIA Firm
So you want to be an RIA? Here are the business and legal considerations to address before hanging up your shingle.
LPL’s Robert Moore: RIAs Are Where the Growth Is
LPL President Robert Moore tells ThinkAdvisor why the BD is not feeling acquisitive and why there's room to grow in the indie RIA space.
Wells Fargo Adds 11 California Reps With $1B in AUM
The wirehouse taps a new communications chief, as independent firms hire recruiters, portfolio managers.
Advisors Sharply Increase Use of Options for Clients: OIC
Responding to clients' "insatiable need for income," advisors across all channels have increased their use of options, according to the Options Industry Council.
Dan Skiles, SSG’s Tech Guru: The 2014 IA 25 Profile
Technology, yes, but in his new role at Shareholders Service Group Skiles offers insights into more than just the latest software.
Mariner Wealth Buys New Jersey RIA With $817M in AUM
CEO Marty Bicknell doesn’t mind the term “rollup firm,” but he says there's a difference between Mariner and other firms that acquire RIAs.
Rob Arnott and the Rise of Smart Beta
These strategies, developed by Rob Arnott, have attracted tons of money and adherents, but critics too. What does it mean for you and your clients?
New Hire Roundup: OppenheimerFunds Makes Personnel Changes
Also in new hires, Snowden Capital Advisors adds a new vice president and controller while BrightScope has hired a new VP of data solutions.
FSI Celebrates 10th Anniversary ‘Where the Action Is’
Business consultant John Spence kicked off FSI OneVoice with a blizzard of advice for the nearly 800 IBD attendees.
SEC Is Cracking Down on Proprietary Trading
As fiduciaries, registered investment advisors must always put their clients’ interests ahead of their own.