On a growth path: RIA and dually registered advisor channels
By Warren S. HerschHeadcount growth in the RIA and dually registered advisor channels will continue to over the next 5 years.
February 12, 2015
For Aequitas Capital, Small Firms Are the Sweet SpotFor firms too large for an SBA loan and too small to attract private equity, Brian Rice says Aequitas Capital has a solution.
February 12, 2015
SEC to Mull Accredited Investors, Advisor Succession Plan RulesAt Investor Advisory Committee meeting, Mary Jo White talks of fiduciary rule, advisor exams, succession plans and TDF rules.
February 11, 2015
Advisor Headcount Falls 5 Years in a Row: CerulliWhile total numbers fell, RIA and hybrid channels added advisors and are expected to keep growing over the next five years, the research firm says.
February 10, 2015
Don’t Forget These 5 LinkedIn Do’sMake sure youre making the most of the Webs professional networking destination.
February 10, 2015
Advisor Barred for Claiming Fund Was ‘SEC Approved’Registration does not mean approval, and the regulators view any suggestion to the contrary as materially misleading, Cipperman Compliance points out.
February 09, 2015
Top 15 States With Most RIAsThe number of RIA firms increased to 31,975, according to SIFMAs 2014 Factbook, despite an active merger year.
February 09, 2015
PE Firm TA Associates Acquires Majority Stake in NorthStar FinancialManagement of CLS Investments, Gemini and Orion will remain, looking to complement organic growth with the private equity firm's capital and expertise in acquisitions.