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Lots of choices for advisers looking to sell
The approaches of the different types of buyers vary, so it’s essential to know how they approach the process.
Pandemic prompts brokerages to seek relaxed in-person inspection requirements
Member firms and trade associations representing them told Finra their pandemic experience has shown that supervisors don’t need to look over the shoulders of registered reps physically to ensure they’re following the rules.
American Funds to chop fees, change management on five VA funds
The changes, which take effect May 1, mark the second time in a year that the company has significantly altered its insurance-series funds to make them match their better-known retail counterparts.
Power outages force advisers to leverage Covid-19 contingencies
Freezing temperatures and power outages have affected much of the country. The deadly winter weather is testing the limits of creativity as advisers fight to serve clients and stay warm.
OneDigital acquires manager of $1.3 billion in plan assets
With the deal for Atlanta Plan Partners, which oversees more than 130 retirement plans, OneDigital Investment Advisers will serve approximately 5,000 retirement plans.
Captrust adds $154 billion in plan assets with Cammack deal
The retirement plan aggregator's national footprint grows to more than $600 billion with the addition of Cammack Retirement Group, which serves more than 170 plan sponsors.
Team managing $270 million at UBS moves to Baird
The WillowPointe Group, a two-adviser, five-person team, joins in Cookeville, Tennessee.
Fiduciary redux: Don’t tinker with Reg BI
The client choice approach reflected in Reg BI is in fact the best approach for individual investors because every individual and family is unique when it comes to their wealth management needs and goals.
FSI advocacy priorities for 2021
For independent advisory firms and advisers, the Biden administration’s approach to regulation will be among the most consequential outcomes of the November elections.
Have You Found Investment Opportunities in the Pandemic?
The pandemic and wave of innovation have increased opportunities for investors to identify potential winners and losers of change.
Stalking a Social Security application decision
The application for benefits was submitted more than seven weeks earlier; persistence pays off in tracking down why the response took so long.
INmail: When to claim survivor benefits
If the goal is to collect the largest possible survivor benefit, wait until full retirement age to claim it.
Surprise tax bills, credits await as IRS filing season begins
Some people could benefit from filing quickly this tax season, as Congress works on another round of stimulus checks, while others may benefit from holding off.
MoneyLion to go public via blank-check merger in $2.9 billion deal
MoneyLion manages about $20.65 million in assets and offers mobile banking, automated investing and personal financial management tools
Bond-based public program would save retirement, Ric Edelman says
The RISE accounts Edelman is proposing would be funded initially by $5,884, and people would be able to begin receiving retirement income checks starting at age 70.
DOL may extend exemption allowing Deutsche to manage retirement funds
The banking giant, which was convicted of wire fraud in connection with a Libor-rigging scheme, currently enjoys key rule exemption.
DOL will let Trump-era fiduciary rule stand
The rule, which was proposed last year and goes into effect next Tuesday, essentially replaces the defunct Obama-era version that regulated investment advice for 401(k)s and rollover IRAs. It provides an exemption for investment advice fiduciaries under the Employee Retirement Income Security Act.
Living the ‘lifestyle practice’ dream
Why a 64-year-old RIA doesn't worry about building scale and has no plans to retire, even though he could fetch about $5 million for his firm in today’s white-hot market.
OneDigital acquires property and casualty brokerage
HM Employee Benefits and Risk Management is based in St. Louis; OneDigital says deal will help it provide 'holistic suite of employee-centric solutions.'
LPL kicks off program to help advisers buy or sell practices
Its new effort, called M&A Solutions, includes ‘strategic support’ and online tools to help advisers considering a transaction.
