Results for "registered investment advisers (RIA)"

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Westwood Holding Group to buy McCarthy Group Advisors

September 22, 2010

Westwood Holdings Group Inc. Ticker:(WHG) today announced that it has reached an agreement to acquire McCarthy Group Advisors LLC in a deal that is expected to close by the end of the year. Details of the transaction were not disclosed beyond...

Obama says extending tax cuts to rich is ‘irresponsible'

September 20, 2010

President Barack Obama said it would be “irresponsible” for Congress to extend tax cuts for the wealthiest Americans and voiced support for Treasury Secretary Tim Geithner and National Economic Council Chairman Lawrence Summers. “I can't...

Making sure the market isn't being gamed

September 19, 2010

It looks like Finra isn't waiting for the Securities and Exchange Commission to figure out how high-frequency traders are affecting the market. Last week, it fined Trillium Brokerage Services LLC $1 million for placing large volumes of equity...

NFP Securities casting wider net to bring in RIAs, hybrid advisers

September 19, 2010

NFP Securities Inc., which in the past has targeted its brokerage services to the insurance agencies and financial planning firms owned by its parent, National Financial Partners Corp., is re-branding itself to attract a broader base of hybrid...

Trickle-down doesn't, as rich don't spend tax savings: Moody's

September 15, 2010

Give the wealthiest Americans a tax cut and history suggests they will save the money rather than spend it. Tax cuts in 2001 and 2003 under President George W. Bush were followed by increases in the saving rate among the rich, according to data...

Most investors think brokers are fiduciaries, survey says

September 15, 2010

While it's still unclear whether the SEC will back a universal standard of care for brokers and investment advisers, one thing seems certain: investors want a single standard. More than 90% of investors say they want fiduciary rules to apply...

Finra fines brokerage $1M over illicit trading strategy

September 13, 2010

Market regulators have fined a New York-based brokerage firm $1 million for creating a false sense of demand for stocks that earned it profits. Trillium Brokerage Services paid the fine but did not admit or deny the charges, according to the...

Biggest RIA firms see discretionary assets jump 16% in 2Q

September 12, 2010

The 50 largest registered investment advisory firms managed a total of $127.2 billion in discretionary assets as of the end of the second quarter, up an impressive 16% from a year earlier. In addition, the top 50 RIA firms averaged close to...

Kenneth Starr pleads guilty, faces up to 12½ years in jail

September 10, 2010

Kenneth Starr, the Ponzi scam artist whose clients included top Hollywood celebrities, pleaded guilty today in Manhattan federal court to one count each of wire fraud, money laundering and investment adviser fraud. Mr. Starr faces a recommended...

RIA giants rebound

September 8, 2010

The top 50 largest registered investment advisory firms managed $127.2 billion as of the end of the second quarter — up a sizable 16% from the end of the second quarter in 2009. Moreover, the top-50 RIAs averaged close to 3,600 accounts per...

Obama to back more tax breaks?

September 7, 2010

President Barack Obama will call on Congress to pass new tax breaks that would allow businesses to write off 100 percent of their new capital investments through 2011, the latest in a series of proposals the White House is rolling out in hopes...

Schwab hit with another suit over bond fund

September 7, 2010

The Charles Schwab Corp. has been hit with another lawsuit claiming that its Total Bond Market Fund, which was represented as tracking the Lehman Brothers U.S. Aggregate Bond Index, loaded up with mortgage-backed securities prior to the financial...

Editorial: Time to rethink assumptions about returns

September 5, 2010

The prolonged economic crisis, weak equity markets and rock-bottom fixed-income returns should cause all who advise individuals on investing to reconsider the assumptions on which much of their advice is based. At least since 1976, when Roger...

The Hartford inflames B-Ds, advisers

September 5, 2010

Broker-dealers and financial advisers are taking action against The Hartford Financial Services Group Inc. in response to a letter the firm sent to their clients that entices them to swap their variable annuities for a replacement — one that...

NY Life No. 1 seller of fixed annuities in 2Q

September 5, 2010

New York Life Insurance Co. was the top seller of fixed annuities during the second quarter, with $1.74 billion in sales, according to Beacon Re-search Publications Inc. Allianz Life Insurance Company of North America followed in second, with...

12(b)-1 reform needs some permanent grandfathering

September 5, 2010

Among the many provisions in the SEC's plan to overhaul 12(b)-1 fees for mutual funds, perhaps the most contentious is the five-year grandfathering of existing share classes that charge in excess of 25 basis points. Any financial adviser affected...

$3.2M Smith Barney team bolts Morgan Stanley for J.P. Morgan

September 3, 2010

Morgan Stanley Smith Barney LLC has lost a $3 million producing team of veteran Smith Barney brokers to rival J.P. Morgan Securities LLC. The team, known as the Landmark Group, is based in the White Plains, N.Y., office of J.P. Morgan Securities....

Beware of wealthy clients' 'impossible demands': Barclays

September 2, 2010

The world's richest clients often come with “impossible demands,” push margins down and cause internal conflict with investment banking colleagues, said the vice chairman of Barclays Plc's wealth management unit. People with at least $30...

Schwab shells out for $4B active ETF manager

August 30, 2010

The Charles Schwab Corp.'s move into active ETF management with the acquisition of Windward Investment Management Inc., which was announced today, didn't come as a surprise to advisers, who gave it high marks. Windward allocates its $4 billion...

Editorial: So much for 'Home Sweet Home'

August 29, 2010

For the forseeable future there will be no easy way to build a retirement nest egg, meaning investment advisers and their clients will have to work harder and use a wider range of tools to accomplish the task. The latest home sales statistics,...

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