南都湾财社记者统计发现，以披露日期为准，今年以来，第三方投顾机构已"吃"罚单53张，过半提及误 导性宣传问题。 四川钱坤云因合规问题两次被罚 根据四川证监局发布的行政监管措施决定，四川钱坤云被查出存在两方面问题：一是证券投资顾问管理 机制不健全；二是公司合规管理和风险控制机制不健全。四川证监局认为，上述行为违反了《证券投资 顾问业务暂行规定》第八条、第九条的规定，决定对该公司采取责令改正的行政监督管理措施。 天眼查信息显示，四川钱坤云成立于1997年，法定代表人为符云飞，注册资本3000万元，由四川钱坤信 息技术有限公司100%持股。四川钱坤云官网信息显示，该公司是中国证监会特许证券投资咨询机构， 经营范围包括：金融投资、证券投资、咨询、资产管理及培训服务等。 中国证券监督管理委员会四川监管局近日发布的信息显示，四川钱坤云智能科技有限公司（以下简 称"四川钱坤云"）因为证券投资顾问管理机制不健全、公司合规管理和风险控制机制不健全被责令改 正。 两张罚单均提及四川钱坤云合规管理不完善或不健全，且相隔仅数月。在业内人士看来，这表明该公司 未能有效整改内部管控缺陷，或反映出公司在合规体系建设上存在系统性不足。 天相 ...

MAI Capital Management is continuing its aggressive acquisition campaign with the addition of two registered investment advisory firms this month that together manage nearly $1.2 billion in assets.Barron's AdvisorRead MoreWelcome to Barron's Advisor! Our articles are free to Barron's subscribers and wealth management professionals. To subscribe to Barron's, click here. If you're a wealth managment professional and would like access to the Barron's Advisor experience, please provide the information below.If ...

GOAU at a New Record Intraday High U.S. Global Investors San Antonio, TX, Sept. 22, 2025 (GLOBE NEWSWIRE) -- U.S. Global Investors, Inc. (NASDAQ: GROW) (“the Company”), a registered investment advisory firm[1] with expertise in gold mining stocks and the airline industry, is pleased to announce that it will continue its payment of monthly dividends. The Company’s Board of Directors (the “Board”) approved payment of the $0.0075 per share per month dividend beginning in October 2025 and continuing through ...

You can find original article here Wealthmanagement. Subscribe to our free daily Wealthmanagement newsletters. Two Pennsylvania-based registered investment advisors are merging to create a $9 billion RIA combining an institutional-focused firm with a predominantly wealth management business. BilkeyKatz Investment Consultants, which works with institutional clients with assets ranging from $20 million to $1 billion, and Oakmont Capital Management, which has about $650 million in assets under man ...

I have been involved in the financial world for over 20 years with experience as an advisor, teacher, and writer. I am a full believer in the free-market system and that financial markets are efficient with most stocks reflecting their real current value. The best opportunities for profits on individual stocks come from stocks that are less-widely followed by the average investor or from stocks that may not accurately reflect the opportunities that currently exist in their markets.Analyst’s Disclosure:I/we ...

GREENWICH, Conn., Sept. 15, 2025 (GLOBE NEWSWIRE) -- GAMCO Investors, Inc. (“Gabelli”) (OTCQX: GAMI) is scheduled to present at the Sidoti Small-Cap Conference on Wednesday, September 17th, at 1:45pm. We invite you to use this link to register for our presentation: https://sidoti.zoom.us/webinar/register/WN_KU9hKI-cSaCLG8y4mMYk-w About Gabelli Gabelli (OTCQX: GAMI), established in 1977, is a widely-recognized provider of investment advisory services to 27 open-end funds, 13 United States closed-end funds an ...

投资顾问平台 - Advisor平台可在3分钟内匹配经专业审查的财务顾问并提供免费咨询[1] 市场观点 - Universa Investments首席投资官Mark Spitznagel预测将出现"自1929年以来最严重的市场崩盘"并预期80%跌幅[3] - 其认为当前市场调整仅是开始 并称多元化策略是"巨大谎言" 建议构建抗市场崩溃的投资组合[2][3] - 指出国家债务高企和美联储激进加息导致"人类历史上最大信贷泡沫"[2] - CBOE波动率指数达COVID-19疫情以来最高水平[2] 黄金投资 - 黄金被视为通胀对冲工具 因不能像法币一样被随意印制[5] - Goldco提供最低1万美元起投的黄金IRA 匹配10%合格购买量的免费白银并免运费[6] 房地产投资 - 商业房地产提供稳定收入流 过去二十年平均回报率达10%[6][8] - First National Realty Partners提供必需型房地产投资 如超市和医疗设施[7] - Homeshares面向合格投资者 最低投资2.5万美元可参与36万亿美元美国房屋净值市场[10] - 该方式风险调整后内部回报率介于12%至18%之间[11] - Arrived平台允许最低100美元投资SEC认证的租赁房产 获杰夫·贝佐斯等支持[11][12] 艺术品投资 - 当代艺术年化回报率达11.5%(1995-2023年) 超越标普500指数的9.6%[14] - Masterworks平台为6万余名投资者提供毕加索等蓝筹艺术品投资机会[15]

公司并购动态 - MAI资本管理收购总部位于加利福尼亚州圣马特奥的Summit金融顾问公司 该交易使MAI增加5.7亿美元资产管理规模[1] - MAI于8月底宣布收购洛杉矶的Evoke顾问公司 该交易规模达270亿美元 合并后总资产管理规模约600亿美元[2] - Summit金融顾问公司由Rafael Velez于1998年创立 专注于为硅谷科技高管和企业家提供股权薪酬、集中股票投资组合和税务策略服务[3] - Summit的五人团队将保留 Rafael Velez将担任区域总裁兼高级董事总经理[4] - Evoke由美林校友David Huo创立 交易完成后将保留原有品牌名称[4] 公司发展战略 - MAI继续以客户至上理念、强文化认同和增长承诺为准则推进并购策略[3] - 公司正在德克萨斯州、亚利桑那州和佛罗里达州东南部探索扩张机会[3] - 与Evoke的合并增强了平台实力 为吸引全国范围内符合战略的团队创造更多机会[3] - 公司正快速推进整合工作 重点确保顾问和客户的无缝过渡 这将成第四季度及以后的持续优先事项[4] - 公司认为Evoke品牌及其在高净值客户中建立的声誉具有重要价值[5] 行业整合趋势 - 通过连续并购 MAI将跻身市场最大注册投资顾问公司行列[2] - 尽管已完成重大并购 公司仍认为在并购领域存在大量潜在机会[2]

You can find original article here Wealthmanagement. Subscribe to our free daily Wealthmanagement newsletter. There is room for more ETF adoption among RIA firms, according to the second quarter 2025 “RIA ETF Trends Report” from AdvizorPro. During the quarter, 5,035 RIAs reported consistent ETF holdings, according to the company. Over half (57.8%) expanded the number of ETFs in their portfolios between the first and the second quarter of 2025, while 22.2% pared down how many ETFs they held. The share of ...

公司收购动态 - 洛杉矶混合型注册投资顾问公司Signature Estate & Investment Advisors通过收购Select Money Management实现资产规模突破30亿美元[1] - 本次收购标的为加州Aliso Viejo的16亿美元资产管理规模RIA 这是公司2024年第二次重大收购 四月曾收购克利夫兰20亿美元资产管理规模RIA[1] - 收购带来奥兰治县新办公室 10名新增员工及跨州客户群 被收购方专长信仰导向与价值观投资 并保持持续两位数有机增长[5] 业务扩张战略 - 公司采用三管齐下增长策略：顾问招募与培养 收购文化契合公司 通过中心辐射模式实现内部扩张[3] - 采用1099附属模式与W-2雇员模式并行 近期正将顾问从附属模式转入雇员模式[3] - 公开目标在2030年前达到1000亿美元客户资产 2022年获得Reverence Capital Partners未披露金额投资后开启收购进程[2] 管理团队建设 - 2024年快速引进高层管理人员：四月任命AssetMark前高管Matt Matrisian为总裁[4] - 任命财务与会计专家Stephen Masterson为首席财务官[4] - 引进富达投资财务规划主管Brad Repinsky担任遗产 税务与财务规划总监[4] 运营体系优化 - 通过新增AssetMark托管渠道 与现有嘉信理财和富达托管形成互补[2] - 多托管商体系有助于吸引顾问并整合客户资源[2] - 目前拥有28个办事处和超过200名员工[3]