How to Start Your Own RIA Firm
By Mike PattonThe business and legal considerations to address before starting your own advisory firm.
October 23, 2014
United Capital Acquires FlexScore Creators Valley WealthUnited Capital said Thursday that it has acquired Valley Wealth, an RIA based in California, that has $320 million in AUM.
October 23, 2014
Selling Your Advisory Practice? It Might Be Worth Less Than You ThinkAdvisors trying to sell their practices "are overly optimistic about the enterprise value of their businesses," Cerulli says.
October 22, 2014
Former PIMCO Parent Pacific Life Moves Accounts to JanusPacific Life is moving some money to Bill Gross new firm, Janus, which said the decision pre-dated Gross exit.
October 21, 2014
Fiduciary Rule to Snag BDs on IRA RolloversThe DOL is likely to hold broker-dealers who chase IRA rollovers to the same fiduciary standards retirement advisors must meet, ERISA attorney Fred Reish says.
October 20, 2014
10 States With Most Advisors HeadquarteredMost investment advisory firms main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
October 17, 2014
5 Critical Marketing Questions Financial Advisors Must Ask ThemselvesMany advisors spin their wheels when it comes to creating engaging marketing material. Why? Because they arent asking the right questions.
October 16, 2014
DOL Advisor Crackdown Is ‘Out of Control’: Benefits LawyerThe DOL conducted more than 3,600 audits of qualified retirement plans last year. Settlements related to violations totaled $1.7 billion in plan reimbursements and fines.