Results for "registered investment advisers (RIA)"

Displaying 2,540 results

Sort: Date | Relevance

Author:

The choice that Republicans face

November 7, 2010

Voters have handed the Republican Party either a golden opportunity or a poisoned chalice, and the choice will be determined by the actions of the elected members of the party. If Republicans can find a way to work with President Barack Obama...

A headunter's dinner with three unhappy advisers, Part 2

November 4, 2010

“There is no simple or perfect solution. And the best place for one of you will not necessarily be the best place for all of you.” I'm sitting with three solid advisers. They care passionately about their practices, their clients, their...

Wilmington Trust is sold for $350M

November 1, 2010

Wilmington Trust Corp., the Delaware bank founded by the du Pont family and undermined by souring loans, agreed to sell itself to M&T Bank Corp. for $351 million in stock, or about half its market value last week. The deal values 107-year-old...

Reps looking to bail on besieged B-D: Recruiter

November 1, 2010

Representatives and advisers at Brewer Financial, a Chicago-based independent broker-dealer, are said to be looking to jump ship after the Securities and Exchange Commission charged the firm and its top two executives with fraud in selling $5.6...

Advisers still social networking in the slow lane

October 31, 2010

“I thought Twitter was something Brett Favre uses to pick up women.” It was a pitch-perfect one-liner that woke up the packed early-morning audience of a thousand advisers attending a session on social networking at the Schwab Impact conference...

Schwab's Clark says a strong offense is the best defense

October 31, 2010

With a market share more than twice that of its closest competitor, The Charles Schwab Corp.'s Advisor Services unit is the acknowledged king of the RIA mountain — and Bernie Clark intends to keep it that way. Mr. Clark, who took charge of...

SEC suit raises disclosure questions for breakaway reps

October 31, 2010

Do breakaway brokers have to disclose to clients how much they stand to gain by going independent? Industry lawyers are asking that question after the Securities and Exchange Commission last month sued Benjamin Lee Grant, founder of Sage Advisory...

Keeping a steady hand amid uncertainty

October 31, 2010

It isn't an overstatement to say that the future of the advice business hangs in the balance as federal agencies conduct scores of studies and write hundreds of regulations designed to carry out the sweeping mandates of the Dodd-Frank financial-reform...

My dinner with three unhappy advisers, Part 1

October 28, 2010

I had dinner in Manhattan recently with three advisers, all friends, who are now at three different firms. All three are at or close to the million dollar level. One of them was a long time contact of mine and he introduced me to the others....

RIA audits less frequent, tougher and ‘kind of mean’

October 27, 2010

Dodd-Frank will be leading to changes in the SEC's adviser exam program, according to Robert Stype, managing partner at ACA Compliance Group. The financial-reform law directs the SEC's Division of Investment Management to perform examinations...

Schwab offers more details about Intelligent Integration, other tech projects

October 27, 2010

The Charles Schwab Corp. made several technology announcements this morning at its annual Impact conference in Boston. Among them: availability of Version 5.0 of Schwab's PortfolioCenter software and a major integration with third-party provider...

Why more than 7K reps left the big brokerages in 18 months

October 26, 2010

After Morgan Stanley took control of Smith Barney in May 2009 from Citigroup Inc., David Hopkins grew disillusioned with his new bosses. Hopkins, 50, says he had built a roster of about 150 clients with $38 million in assets in nine years as...

UBS nears wealth management turnaround, as outflows taper off

October 25, 2010

UBS AG, Switzerland's biggest bank, will probably report a fourth straight quarterly profit tomorrow and the lowest wealth management redemptions since 2008. The bank may post net income of 1.16 billion Swiss francs ($1.2 billion) for the third...

Investors, advisers heeding wake-up call

October 24, 2010

Judging by the results of InvestmentNews' 2010 Industry Attitudes survey, the financial crisis and market crash seem to have changed the behavior of financial advisers and clients for the better. It seems that both groups have relearned the...

Revenue rebounds

October 24, 2010

Revenue increased for a healthy majority of financial advisers over the past 12 months, according to InvestmentNews' 2010 Industry Attitudes survey — a clear bounce-back from 2009, when calamitous market conditions struck panic among investors...

Fidelity offers its advisers single-family-office services

October 24, 2010

Fidelity Investments today is launching a service designed to help investment advisers who use the firm's custody services attract more business from wealthy clients by giving them access to its single-family-office services. The firm's Family...

Skip Schweiss of TD Ameritrade: 'Advisers are angry'

October 24, 2010

This year, Skip Schweiss, president of TD Ameritrade Trust Co., took on an additional role as managing director of advocacy and industry issues. As such, on top of his day-to-day responsibilities overseeing TD Ameritrade's retirement services,...

Ramped-up IRA withdrawals this year could cut retirees' taxes next year

October 21, 2010

For U.S. taxpayers making mandatory withdrawals from an individual retirement account, 2010 may be a good year to take out more than necessary because tax rates may rise. Required minimum distributions from the accounts, which are taxed as ordinary...

Where will the next generation of advisers come from?

October 19, 2010

We've all read (or written) the stories about the average financial adviser, in his or her late 50s, who just can't seem to find the right succession plan. And if it's a problem now, it will only become more of a challenge, as firm owners only...

Hedge-fund manager starts family office, shuns banks

October 18, 2010

Stephen Diggle, co-founder of hedge- fund firm Artradis Fund Management Pte, has set up a company to pool his personal wealth with that of family offices in Asia and invest in assets worldwide. Vulpes Investments will enable Diggle to diversify...

« Previous PageNext Page »

1 ... 118 | 119 | 120 | 121 | 122 | 123 | 124 | 125 | 126 | 127

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.