An RIA provides investment advice to clients. RIAs are required to register with either their state or the SEC. Some RIAs are full-service firms that offer comprehensive financial planning. Financial ...

Finance Strategists had the opportunity to interview Derek Holman, CFP®, AIF®, co-founder and managing director of EP Wealth, to gain valuable insights into the world of Registered Investment Advisors ...

Becoming a registered investment advisor (RIA) allows fintech startups to provide personalized investment advice and be compliant with applicable laws. As a fintech startup in the investment advisory ...

The RIA industry suffers from choice overload with 850 asset managers and 15,000 RIAs struggling to connect efficiently ...

As the wealth management industry evolves, many successful financial advisors leave the banks, wirehouses, regionals and traditional broker/dealers to pursue the registered investment advisor ...

RIAs face stringent regulations and procedures to ensure that they’re acting in the best interests of investors. Meeting these requirements, however, can take up a huge chunk of the time that they ...

RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

As co-head of Dynasty Investment Bank, I spend much of my time evaluating RIA firms for potential mergers and acquisitions. Over the years, I’ve seen firsthand that there’s no single formula for what ...

RIA aggregators buy up RIAs to monetize a larger RIA. However, adding up assets under management will not necessarily generate a multiple on the monetization event that the RIA aggregators and their ...

Many financial advisors begin their careers believing that maximizing assets under management is indispensable to success. But while this makes sense in the context of the large broker-dealers many ...

The private-equity-fueled rollup of RIAs is putting pressure on legacy marketing teams and requiring them to evolve or be left behind in an increasingly sophisticated environment. In fact, according ...