RIAs

Advisor Upside

Post-Acquisition, RIAs Better Ensure Compliance, SEC Hints

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RIA deals are tracking another annual record for 2026, and the volume has caught the attention of federal regulators.

2 min read

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Advisor Upside

Is Schwab a Competitor? Depends on Who You Ask

CEO Rick Wurster maintained that Schwab doesn’t go head-to-head with its RIA clients, but recent business moves can feel contradictory, advisors say.

2 min read
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Advisor Upside

How the Midterms May Impact RIA Dealmaking

Policy change may be unlikely, but that doesn’t mean the midterms won’t matter for mergers and acquisitions.

2 min read
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Advisor Upside

Fee-Only RIAs Grow in Number, but Not Percentage of Industry Assets

Mergers and acquisitions are changing the face of the industry, and clients may not realize how their advisors are compensated.

2 min read

Advisor Upside

Fidelity’s New Custody Minimum Could Impact 1,150 RIAs

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For many smaller firms, the announcement means finding a new custodian, a potentially disruptive process.

2 min read

Advisor Upside

Want Top Dollar for Your RIA? Buyers Are Looking for More Than Assets

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Acquirers want firms with strong organic growth and next-generation leaders in place.

4 min read

Advisor Upside

Schwab Says Wealth Expansion Won’t ‘Bump Into’ RIA Clients

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While advisors tend to feel confident that clients won’t leave them, there’s still a fair bit of, let’s say, tension.

2 min read

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