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Showing 1 - 10 of 10 results for "Registered Investment Advisers"

Fintech predictions for 2023: Finura

CASSANDRA BALDINI  |  TUESDAY, 31 JAN 2023
... sustain with 15,000 advisers for the foreseeable future. "According to Cerulli, the US has 14,000 registered investment advisers (RIAs) with $102 trillion in regulatory funds under management (FUM). These advisers direct 85% of all their assets to the ...

Practifi launches deal management app

ANDREW MCKEAN  |  TUESDAY, 16 AUG 2022
... pace of merger and acquisition activity in the wealth management industry makes it important for registered investment advisers, broker-dealers and network firms to manage their pipeline capably." "After carefully listening to our clients, we created ...

BNY Mellon subsidiary to pay US$1.5m over ESG misstatements

CASSANDRA BALDINI  |  TUESDAY, 24 MAY 2022
... of Enforcement and head of its limate and ESG Task Force, Sanjay Wadhwa explained the findings. "Registered investment advisers and funds are increasingly offering and evaluating investments that employ ESG strategies or incorporate certain ESG criteria ...

Fidelity launches one-stop-shop platform

KARREN VERGARA  |  TUESDAY, 17 NOV 2020
... rolled out under Fidelity subsidiary Fidelity Institutional to wealth management firms, including registered investment advisers, family offices and broker-dealer firms. Fidelity Institutional head of investment and managed solutions Gary Gallagher said ...

Pacific Current Group expands US investment

HARRISON WORLEY  |  THURSDAY, 24 JAN 2019
... Pacific Current Group (ASX:PAC) picked up a 10% stake in Independent Financial Partners, a "hybrid registered investment advisers platform" based in the US. The global multi-boutique asset manager said the move is consistent with its goal of increasingly ...

Robo-advisers expected to meet fiduciary rule

ALEX DUNNIN  |  FRIDAY, 16 JUN 2017
... advice," the SEC noted in its February 2017 investment management guidance. "Robo-advisers, like all registered investment advisers, are subject to the substantive and fiduciary obligations of the Advisers Act. Because robo-advisers rely on algorithms ...

Fund administrator purchases New York business

DARREN SNYDER  |  TUESDAY, 23 AUG 2016
... market. Fundadministration works with emerging and established hedge fund managers, as well as registered investment advisers and traders. The firm administers 140 funds for 45 clients with funds under administration of US$5 billion. All of Fundadministration's ...

Advisers need to leverage enormous ETF winds

DARREN SNYDER  |  WEDNESDAY, 27 JUL 2016
... sure investors had a properly diversified portfolio and Howie cited a US survey that showed 85% of Registered Investment Advisers use ETFs for core allocations, as well as a separate study where a majority of instos were holding ETFs for at least 12 ...

US manager charged with fraud

RUTH LIEW  |  WEDNESDAY, 19 JAN 2011
... $8 million in illicit commissions and fees. Warren Nadel, through his investment advisory firm Registered Investment Advisers and his broker-dealer Warren D. Nadel & Co. encouraged clients to invest in a purportedly liquid, cash management strategy that ...

Advisers eye annuities

RUTH LIEW  |  WEDNESDAY, 6 MAY 2009
... dollars, new research shows. A new Cerulli report on annuities and insurance shows that 20 per cent of registered investment advisers (RIAs) would consider using immediate annuities for a portion of their clients' rollover assets. But while some might ...
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