11/3/2008
If your total AUM hover around $25 million - and you're an SEC registered adviser - today's bear market may hold implications for your firm beyond losses and gains. Your registration status could be at risk.First, exhale, in that you probably don't have to worry about this until next March. That's w ...
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8/18/2008
The promise of higher profits produces one of the motivations for broker-dealers to practice as independent, fee-based advisers, according to a new report, The Broker-Dealer of the Future from Pershing."Convergence is upon us. The worlds of broker-dealers and RIAs are no longer separate and distinc ...
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8/11/2008
More than half of registered advisers either considered buying another firm, or actually did buy one in the last two years, a study by Pershing Advisor Solutions details. But the number of actual deals in 2007 (58) represents a small percentage of the 11,000 universe."Transaction trends are promisin ...
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6/30/2008
Take solace if your AUM has taken a hit in the last few months. A new IA Week survey reveals 63% of your peers report their AUM has dropped since last September. On the flip side, more than one in four (26%) say their assets have increased.What do the winners credit for the increase? Answers include ...
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6/2/2008
A new survey of investment advisers finds for the 4th year in a row AUM have increased. The median amount ballooned to $142 million, up 15% over the previous year. Money from baby boomers is being credited with contributing to historic highs in AUM and revenues.The results come from The RIA Industry ...
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2/4/2008
The fastest-growing advisory firms tend to be young firms that broke away from their broker-dealer five to nine years ago and have focused on aggressively growing their asset base, according to a new survey by Fidelity Investments.Registered investment advisers have realized an average growth rate o ...
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01/07/2008
The SEC revoked the registration of an investment adviser and barred its principal from the industry for offering three investment programs that purported to guarantee investors against loss of principal if they kept their assets under the firm's management for a fixed period of time. In actuality, ...
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12/17/2007
Advisers will offer more separately managed accounts and exchange-traded funds in the coming two years, while the share of mutual funds in the asset mix will decline, a new study shows.The open-ended mutual fund, long the dominant investment product of choice for advisers, will decline by 10% in the ...
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08/20/2007
The number of retail-focused advisory firms will grow to over 19,000 from the current 15,500 in the next five years, according to a new study by Moss Adams. The study also reveals that the average assets under management of independent registered investment advisers will exceed $1 billion by the end ...
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08/06/2007
The number of SEC-registered investment advisers increased only slightly in 2006-2007 based in large part on the short-lived registration of hundreds of hedge fund advisers. Registrations had shot up nearly 20% last year as hedge fund advisers registered in advance of the then impending SEC registra ...
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