Financial Planning

RIA

• Mariner Wealth Takes Majority Stake in Tulsa RIA

  February 1, 2012

  As part of the arrangement, Adams Hall will retain its name and gradually integrate its operations and systems into Mariner’s over time.

• More Than 75% of Newly Independent Advisors Are Better Off Financially: Study

  February 1, 2012

  Just over three-quarters—76%—of advisors who have recently shifted to an independent business model say they're better off financially, according to a new study by Fidelity Investments. And 64% of those who say they're better off were better off within six months of their move, according to the study.

• Hamm Departs Cambridge for RIA The Legend Group

  January 30, 2012

  Michael Hamm has left a position as vice president at Cambridge Investment Research in Fairfield, Iowa, to become a senior vice president at The Legend Group in Palm Beach Gardens, Fla.

• Asked and Answered: RIA Industry at a Disruptive Crossroads

  January 30, 2012

  Alex Murguia, managing principal of McLean Asset Management and CEO and founder of inStream Solutions, believes advisors should be aware of major changes underway in the planning profession—and should take proactive steps to safeguard their practices. Financial Planning talked to Murguia about his views on the outlook for RIA businesses.

• Bob Oros Jumps to Fidelity as New Executive VP of RIA Sales

  January 27, 2012

  Just a few days after Bob Oros left Trust Company of America as national sales manager, Fidelity Institutional Wealth Services has confirmed he will start next week as executive vice president of RIA sales and relationship management.

• Industry Consolidation: It’s in the Eye of the Beholder, Schwab Study Finds

  January 25, 2012

  New M&A data from Schwab seems to suggest that the RIA space is not consolidating as fast as some have predicted it would – though the final analysis depends on how you define consolidation.

• Beacon Hill's New RIA Trust Product Attracts First Customer

  January 23, 2012

  Columbus, Ohio-based Beacon Hill Fund Services announced their first customer for its new Advisors Investment Trust product. The product enables multiple unaffiliated registered investment advisors to co-exist in the same registered investment company.

• Small Seattle Broker-Dealer, RIA Folds Into D.A. Davidson & Co.

  January 20, 2012

  The Seattle-based broker-dealer is winding down. Its legal entity will retain its liability and assets, and D.A. Davidson will not take on its bond inventory.

• RIA Firm HS Management Partners Lands New Senior Investment Officer

  January 19, 2012

  New York-based RIA firm HS Management Partners has hired Robert Gebhart as its new senior vice president and senior investment officer.

• People on the Move: Hendrickson To Lead RIA Sales at HSBC Global

  January 19, 2012

  HSBC Global Asset Management has hired Damion J. Hendrickson as a senior vice president and head of RIA sales.

• Leading RIAs Roll Out Private-Label Apps

  January 17, 2012

  Two large RIA firms have launched their own apps in the Apple and Android store, putting them ahead of the field in the race to maintain contact with clients.

• Jefferson National Targets Distribution to RIAs in $83M Buyout

  January 17, 2012

  The proceeds will be used in areas that Jefferson National anticipates will translate into growth.

• Fidelity Rolls Out WealthCentral iPad App for RIAs, Family Offices

  January 12, 2012

  Fidelity Investments is now offering a free version of its WealthCentral customer relationship and portfolio management platform for the iPad.

• Software Firm Zephyr Associates Sees Spike in New RIA Clients

  January 10, 2012

  Zephyr Associates, a financial analytics software provider to financial advisors, is seeing a steady increase in the percentage of RIA firms among its clients.

• RIA Participation Helps Boost IMCA's 2011 Membership

  January 9, 2012

  Among the 27.2% of IMCA members who are independent, 14.2% are RIAs, 7.7% are dually registered and almost 85% of IMCA advisors and consultant provide fee-only or fee-based advice.

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