Articles tagged "RIA IN A BOX"
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After promising to make RIAs job one, new Betterment CEO puts trust in RIA brands --and knocks off XYPN-- to create an Envestnet-lite outsourcer for start-up shops and breakaways
Betterment is using four software and services vendors and discounts up to $3,100 per RIA per year after getting the idea from one of its largest customers
June 23, 2021 at 9:31 PM
Lovell Minnick sinks more capital into TurboTaxifying the RIA compliance market, with roll-up of NCS; but Brian Hamburger and other free-standers see no threat
Like Aquiline with RIA-in-a-Box, the private equity firm says scale and software are key to comply with SEC dictates in the future, but MarketCounsel and Cipperman are betting this ain't like retail tax returns.
January 5, 2019 at 2:07 AM
RIA in a Box gunning for top-notch staff as it readies for Aquiline-fueled roll-up binge, targeting old-school, mom-and-pop compliance competitors
With Ascensus also in its portfolio, Aquiline is showing a penchant for taking dull, fragmented, unloved wealth-management niche businesses and rolling them up into sexier firms
November 29, 2018 at 11:54 PM
Purchase of RIA in a Box with reclaimed Barnaby Grist as overseer shows ambition of New York buyer to create compliance 'robo-advisor'
Fresh off big AssetMark score, Aquiline's money talks, saying RIAs must spend big to comply but would like to spend smaller
June 1, 2018 at 3:01 PM
Orion draws a record pack of hackers to Utah to code, bond -- and compete
From 7,000 feet above sea level, 90 RIA software types breathed thin air en route to zapping redundant portals
September 12, 2016 at 6:56 PM
Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators
But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions
December 7, 2012 at 5:01 AM
(Updated) RIAs stumble at ADV form goal line
SEC's still mum about what will happen to procrastinators; states adopting laidback approach
April 4, 2011 at 2:05 PM
New Fidelity survey shows advisors are running scared about compliance costs
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
March 7, 2011 at 1:28 PM
The RIABiz list of winners and losers in the wake of the SEC's fiduciary study
The race is on as laggards adapt to new vision of the future
January 28, 2011 at 1:17 PM
Why RIA demand for E&O insurance is booming and premium prices are [thankfully] plummeting
A plethora of new carriers is a big boon at a time when regulators 'circle like sharks'
November 17, 2010 at 5:40 AM
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states
August 25, 2010 at 12:56 PM
14 tips for how to act when the SEC auditor is in your office
No need to be a doormat but treat the visitor as a guest
January 14, 2010 at 6:39 AM
Elizabeth witnesses a mock audit first hand and feels the advisor's pain
Mock audits are in hot demand because they cut back on regulatory blindsiding
January 13, 2010 at 5:59 AM
New RIAs gather assets more zealously than veterans
Established RIAs also more likely to report a decline in client base than newbies
December 28, 2009 at 4:44 AM
SEC details new "Madoff fix" custody rules
Advisor groups relieved: no surprise audits for RIAs with third-party custodians
