Rias Corp.

Focus Financial lining up new capital infusion; Investment crucial for growth at roll-up firm.(News)
Investment News; 11/9/2009; 1438 words; ...from a bank group led by Bank of America Corp., according to its website. Ruediger...other capital event that would allow aging RIAs to "monetize their stakes, Focus and...affiliates of National Financial Partners Corp. and Boston Private Financial Holdings...

Raymond James hikes minimums for new RIAS; Firm cites high cost of serving advisers with fewer assets; hopes to get others to consolidate accounts.(News)
Investment News; 11/2/2009; 956 words; ...maintenance fee. "We are dedicated to providing RIAs superior service and a resource-rich...initially planned to use The Charles Schwab Corp. for his new firm, which focuses on liability...don't make the $50 million cut to join RIAs in its custody network and has helped to...

Stifel Financial diving into RIA custody business; New venture will target hybrid brokers and fee-only advisers.(News)
Investment News; 11/2/2009; 1389 words; ...Byline: Jed Horowitz Stifel Financial Corp., which has been expanding its Stifel...affiliate and add a custodial unit for RIAs. The venture, likely to be called...Akellian said. The Charles Schwab Corp. and TD Ameritrade Holding Inc. typically...

SEC exams of advisers get tougher and meaner; Though less frequent, they are costly and disruptive.(News)
Investment News; 10/26/2009; 1465 words; ...by the firm. Gary Watkins, a partner at ACA Compliance Group, told advisers at The Charles Schwab Corp.'s annual Impact conference for RIAs in San Diego last month that examiners are now asking "broad and open-ended questions in a search...

Fidelity clearing veteran Mark Healy bows out; Latest in parade of departing National Financial executives, unit's client management chief will join a private-equity firm.(News)
Investment News; 10/26/2009; 1182 words; ...Goldman, the former head of The Charles Schwab Corp.'s custody business for RIAs, as president of institutional platforms in both...officer at a predecessor firm to TD Ameritrade Holding Corp. He began his financial services career as a senior...