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FINTECH AUG 06, 2007
More adviser tools coming to smart phones

Financial advisers who use a BlackBerry or other smart phone soon will be able to access a wider range of financial tools and applications.

RIA NEWS AUG 06, 2007
Is new IMCA designation just more alphabet soup?

The Investment Management Consultants Association’s decision to offer the chartered private wealth adviser designation makes industry participants wonder if the credential will fill a need or merely add to the alphabet soup of designations already available.

INDEPENDENT BROKER DEALERS AUG 06, 2007
Waddell planning to upgrade technology

NEW YORK — In a break with its past, Waddell & Reed Inc. will offer its advisers updated technology and next year will introduce a new outside platform for its top 300 or so registered representatives, company executives said last week.

RIA NEWS AUG 06, 2007
China fund invests first, raises capital later

SAN FRANCISCO — When Melissa Ma, Laure Wang and Rebecca Xu decided to strike out and form a new fund-of-funds firm focused on private equity in Asia, they opted to invest first and raise a fund second.

RIA NEWS AUG 06, 2007
Turnkey giant SEI is rebounding after a strategic about-face

After a change of course following three turbulent years, SEI Investments Co. is once again winning assets from financial advisers.

LIFE INSURANCE AND ANNUITIES AUG 06, 2007
Annuity marketers invade video websites

NEW YORK — Middle-aged men in wigs performing a rap song, promises of a “Leadzilla” lead - generation system, and claims of millions of dollars in annual commissions — is this any way to market annuities?

RIA NEWS AUG 06, 2007
H.D. Vest ramps up assets, adviser ranks

SAN FRANCISCO — With help from coaches who train accountants to behave more like financial advisers, H.D. Vest Financial Services is finding new success.

RIA NEWS AUG 06, 2007
529 plans achieving ‘critical mass’

One year after the passage of the landmark Pension Protection Act, which made federal tax breaks for Section 529 college savings plans permanent, the programs are approaching “critical mass,” according to the head of the College Savings Plan Network.

RETIREMENT PLANNING AUG 06, 2007
Some advisers to prosper under final 403(b) rules

CHICAGO — The role of financial advisers won’t be diminished by the new 403(b) regulations released late last month, according to industry experts.

INDEPENDENT BROKER DEALERS AUG 06, 2007
LPL to challenge custody biz

Armed with a series of fee cuts and reimbursements to its advisers, LPL Financial Services thinks that it can take on the giants of the custody business that provide platforms for fee-only registered investment advisers.