Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Mariner Wealth Advisors Adds $950M California Wealth Firm
By Jeff BermanThe acquisition was Mariner's 14th deal in 2021.
January 12, 2022
GOP Lawmakers Blast SEC's Gensler Over 'Unreasonably Short' Comment PeriodsA recent study finds private equity–backed RIAs had a 200% jump in the average number of misconduct incidents after the ownership change.
January 11, 2022
Mercer Advisors Buys $510M Florida RIAThe acquisition of Cordasco Financial Network in Naples expands Mercer's presence in Florida and the Northeast, it says.
January 11, 2022
6 Steps to Winning at InnovationWith a dizzying array of technology options, advisory firms can benefit from following these steps in selection and implementation.
January 11, 2022
RIA Says Being Black, Under 30 Makes Him a 'Unicorn'RIA founder Samuel Deane explains the importance of having a niche and why he sees industry efforts to improve diversity as lip service.
January 10, 2022
SEC Bars Ex-Advisor Charged With Defrauding At Least 100 ClientsThe ex-Raymond James and Alliance Global Partners rep faced 37 client complaints in two years, according to FINRA.
January 10, 2022
Raymond James Hires Private Wealth ChiefKevin Ruth, who's worked at Fidelity, Merrill and UBS, will focus on advisors and efforts to best serve HNW and UHNW clients.
January 07, 2022
3 Top ETF Trends for 2022ETF and market experts Josh Brown, Dave Nadig, Eric Balchunas and Liz Young offer their outlooks.