Results for "registered investment advisers (RIA)"

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Prudential is new No. 1 seller of overall individual annuities

August 22, 2010

Prudential Financial Inc. has taken the crown from MetLife Inc. as the biggest seller of overall individual annuities and variable annuities in the United States for the first half of this year, according to data released last week by LIMRA....

The dangers of the growing bond bubble

August 22, 2010

DESPITE A DECADE of bitter experience, we have learned little about the buildup and bursting of speculative bubbles. After the euphoric upward march of technolgy stocks and their subsequent collapse, we ignored signs of an emerging housing bubble....

Schwab and Charles Goldman agree to arbitration

August 15, 2010

The Charles Schwab Corp. and Charles Goldman have agreed to meet with a private mediator next month to discuss the former executive vice president's demand for $736,000 in severance pay following his dismissal in 2008 as head of the firm's RIA...

Ex-ING adviser Breard gets just under 7 years in prison for fraud

August 12, 2010

An ex-ING financial adviser who looted her clients' investment accounts to the tune of $12 million was sentenced Wednesday to six years and eight months in prison by a federal judge — who also sang her praises for cooperating with officials...

Advisers preparing for threshold switch: NASAA

August 10, 2010

Like many aspects of the financial-regulatory-reform legislation that became law July 21, the provision that increases the threshold for state regulation of investment advisers doesn't go into effect for another year. Advisers, however, are...

What the listless economy needs now

August 8, 2010

Despite short-term interest rates that hover near zero and almost $1.5 trillion of bailout spending through the Troubled Asset Relief Program and the administration's stimulus program, the economy is still weak. Why? Let us count the reasons,...

Citigroup to triple hedge fund offerings for wealthy clients

August 6, 2010

Citigroup Inc.'s private bank will triple the number of hedge funds such as Paulson & Co. that its wealthy clients can invest in, under a push to increase money-management revenue. The private bank will expand its HedgeForum service to offer...

Fiduciary Network buys stake in Utah RIA

August 4, 2010

Fiduciary Network LLC has bought just under 15% of Soltis Investment Advisors, a fee-only wealth management and corporate retirement plan adviser in St. George, Utah, with about $800 million of assets under management. The investment is the...

TD Ameritrade launches tech initiative, moves toward completely open architecture

July 30, 2010

If carried to fruition, TD Ameritrade Institutional's latest technology initiative will be the first to open its application program interface completely to third-party technology firms able to pass muster during the custodian's security review...

Details emerge on one of Warren Buffett's possible successors

July 30, 2010

Li Lu, the hedge-fund manager who helped Berkshire Hathaway Inc. find profits in China, may push Warren Buffett’s investment company to make more deals outside the U.S. if he takes a role at the company. “He is a person that Buffett has...

Ex-Wells Fargo broker opens indie shop in his branch's shadow

July 30, 2010

Jeffrey Sica spent more than four years plotting his move from Wells Fargo Advisors LLC to independence but stumbled a day before he planned to give notice. While arranging furniture in the office of Sica Wealth Management LLC that he was about...

Younger investors at risk of being ‘Depression generation': Krawcheck

July 28, 2010

Young people may have absorbed some damaging, and perhaps lasting, lessons from the financial crisis. About half of the youngest group of wealthy American investors, with an average age of 30, said they are now about as risk tolerant as —...

Congress likely to punt on estate tax until fall – or later

July 28, 2010

As Congress heads toward its summer recess, it looks unlikely that legislators will make progress until September — or perhaps even after the midterm election in November — on the estate tax. “The Senate is probably going to limp into...

Rockefeller snags ex-Goldman exec as new CEO

July 27, 2010

Ten months after the death of its former chief executive, wealth management firm Rockefeller Financial today hired Reuben Jeffery III, a former government official and Goldman Sachs' executive, as its chief executive. On Sept. 7, Mr. Jeffery...

Advisers will have their hands full with the reform law

July 25, 2010

The Dodd-Frank financial-reform bill has been signed into law by President Barack Obama, for better or worse. Financial planners and investment advisers will have their work cut out for them determining what the 2,300 pages of the legislation...

TD Ameritrade recruiting breakaway brokers at a rapid clip

July 21, 2010

TD Ameritrade Institutional reported today that it has attracted more breakaway advisers to the firm during the first nine months of its current fiscal year than it did in all of fiscal 2009. Over the nine-month period ended in June, 212 such...

Record first half for RIA deal volume

July 20, 2010

Merger-and-acquisition volume among RIA firms continues to run at a record pace. The first half of the year was the strongest on record in terms of deal volume, with 40 completed deals involving registered investment advisory firms, representing...

Silver Bridge to buy advisory firm with $400M in assets

July 20, 2010

Officials for Silver Bridge Advisors LLC said today they to plan to purchase a San Francisco-area investment adviser, adding that their firm has created a separate entity to better market itself to wealthy families and family offices. The $1.7...

Finra should err on the side of openness

July 18, 2010

THIS IS A TIME when greater openness is being demanded of the financial and business communities. The Dodd-Frank legislation will demand more disclosure from financial institutions. The Securities and Exchange Commission is demanding more disclosure...

New online disclosures rattle investment advisers

July 11, 2010

Advisers are alarmed that a new online reporting system that discloses their disciplinary records includes customer complaints that have not been substantiated. The Investment Adviser Public Disclosure database, which state securities regulators...

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