Financial Planning

RIA

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• Online Brokerage Firms Announce Merger Agreeement

  May 15, 2012

  The companies, based in Fort Lauderdale and San Francisco respectively, have been fighting an uphill battles against larger competitors. They said in a press release Tuesday that the merger will create a firm, with the scale and resources to provide an alternative for independent investors.

• LPL Nabs $560M Team

  May 14, 2012

  Botsford Group specializes in asset protection strategies, and manages clients’ investing through its proprietary Lifestyle Driven Investing approach.

• Satisfaction with Investment Firms Rebounds to Pre-Recession Levels

  May 10, 2012

  Investors are as satisfied with full-service investment firms as they were before the recession, but client expectations have spiked, according to a J.D. Power and Associates study. Which firms are investors most satisfied with?

• First Cloud-to-Cloud Service Dashboard for RIAs Launched

  May 7, 2012

  The new platform, introduced by Beverly Hills Wealth Management, enables RIAs and advisors to streamline access and usage of cloud-based service applications and IT security

• ByAllAccounts Strikes Partnership with Portfolio Pathway

  May 3, 2012

  RIAs who use the combined service will be able to pull up daily client balance, holding and transactional data through ByAllAccounts, plus the reporting capabilities of Portfolio Pathway

• Small B-D's Close, But Reps Remain Steady

  May 2, 2012

  Despite a 10% drop in the total number of broker-dealers in the past five years, the total number of reps industrywide has fallen a correspondingly negligible amount.

• Envestnet Closes Third Acquisition in Six Months

  May 1, 2012

  The Chicago-based company bought Tamarac Inc., to expand the services it provides to RIAs.

• Advisors Form LPL-Affiliated Hybrid RIA in Tampa Bay

  April 20, 2012

  The firm will specialize in planning around the investment, retirement and insurance needs of the area’s working professionals and families nearing retirement.

• Veritable-AMG Deal Sparks RIA M&A Activity in 1Q

  April 18, 2012

  Schwab report finds spike in total M&A activity in the RIA sector for the first quarter, but nearly half of the $23.95 billion in total assets under management transacted across 17 deals through March 31 came from one deal.

• LPL's RIA Platform Tops $25B in Assets Under Custody

  April 17, 2012

  LPL Financial said its RIA platform, the firm’s custody unit, eclipsed the $25 billion threshold in total assets under custody.

• Merrill Lynch Heavyweights Launch Hybrid RIA Firm Snowden Capital

  April 12, 2012

  The move reflects the ongoing erosion of wealth management market share in the wirehouse channel, the firm says, citing numbers from Cerulli Associates.

• Whitebox Readies Push Into RIA Channel

  April 12, 2012

  Denver-based Whitebox Advisors, the $2.3 billion asset management firm founded by Andrew Redleaf, is making a concerted push into the RIA channel with the help of third-party marketing firm Havener Capital Partners LLC.

• Drawn to RIA Model, Merrill Veteran Joins Cetera's Financial Network

  April 11, 2012

  Drawn by the independent business model, Douglas King is leaving a 25-year career at Merrill Lynch in Minnesota to become the Los Angeles-based president of Financial Network Investment Corporation, a Cetera Financial Group company.

• Envestnet Boosts Research Services to RIA Clients with Prima Purchase

  April 5, 2012

  Now, Prima Capital’s due diligence and other research services will reach RIAs and financial planners via the Envestnet wealth management platform.

• RIA Touchstone Advisors Expects AUM Surge Following Fifth Third Deal

  April 5, 2012

  “I am very excited about this transaction. In addition to increasing our assets under management, it gives us some new and interesting fund offerings, and access to a premier distribution system,” says Steven M. Graziano, president of Touchstone.

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