Schwab's RIA Assets Still on a Tear: Q4 Earnings
By Janet LevauxAssets handled by advisors rose 24% from the prior year to $3.74 trillion; net new assets topped $100 billion.
January 18, 2022
Creative Planning Adds $2B San Diego RIAThe firm plans to announce more acquisitions soon, CEO Peter Mallouk says.
January 14, 2022
Advisor Misconduct Rises After PE Buyouts: StudyThe RIAs that are acquired actually tend to have cleaner-than-average records before the deals, researchers find.
January 12, 2022
SEC 12b-1 Fee Crackdown Continues With Another Enforcement ActionThe firm advised clients to buy or hold mutual fund share classes that charged 12b-1 fees when lower-fee shares were available, the SEC said.
January 12, 2022
Mariner Wealth Advisors Adds $950M California Wealth FirmThe acquisition was Mariner's 14th deal in 2021.
January 12, 2022
Former Stark & Stark Attorneys Launch Law Firm for RIAsMax Schatzow, Cary Kvitka and Ryan Walter are looking to serve advisors with between $100 million and $10 billion in AUM.
January 12, 2022
Cambridge's Amy Webber on Leadership and the Shrinking Labor MarketThe Cambridge Investment Research executive weighs in on challenges the industry is facing, artificial intelligence and the pandemic.
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.