Self-directed IRAs are a growing area of concern at the state level, as enforcement actions more than doubled last year.
The team, including James Wendling, Steven VanDerSchaaf andClint Allman, have moved to the employee unit of Raymond James in Davenport, Iowa.
The $160 million round is the largest to date for the leading independent robo-adviser. The latest influx will be used to accelerate its business-to-business arms, particularly its 401(k) offering.
The problem has continued its upward trajectory, said the lawyers organization, since releasing its first report in 2016.
About 70% of people surveyed said they would choose a job with that feature over a similar one without it, according to a survey by TIAA.
Merrill Lynch rolls out a new mobile app for advisers to access all the information on their adviser dashboard via their smartphones.
The broker, Barry Snyder, was 'hooked' on a hamburger chain stock, says the ex-wife's attorney,
The self-regulator will require brokerages to file retail communications related to the sales of unregistered securities in addition to the offering document.
Sales hit $68.2 billion, up by 40% from the second quarter of 2020, according to the Secure Retirement Institute.
Advances in technology and the deployment of Monte Carlo in financial planning means these solutions can support advisers creating stronger, more personalized financial plans.
A new study details the uncovered costs retirees face for those services as Congress considers expanding Medicare Part B to include such coverage.
Deep-in-debt clients were hoping for a magic solution I didn't have, and didn't appreciate the advice I was able to give them.
A new study from the Center for Retirement Research at Boston College found news reports could lead to misconceptions about Social Security trust funds, and could influence retirement savers to claim earlier than otherwise planned.
A state judge in Tennessee, where Ramsey Solutions is based, granted a motion to compel Ramsey's deposition in the Timeshare Exit Team case.
The Securities and Exchange Commission charged that from at least 2014 until 2019, Buttonwood took steps to avoid paying transaction costs by focusing client investments in more expensive mutual funds.
Polaris is headed by partners Corey Basehore and Justin Dunwoody and includes adviser Sarah Leer, two junior advisers and a nine-member office staff.
As changes bring about increased risks, RIAs need to recognize that insurance is a vital component of their risk management strategy.
It’s up to advisers to communicate with investors who need help with understanding the management of risk across multiple accounts.
'A lot of smaller RIAs don’t understand the magnitude of the work necessary to comply by December,' said Brad Campbell, a former assistant Labor secretary.
States such as California, Oregon and Illinois are requiring small businesses to either provide their own 401(k)s or sign up for the state program — and that is a massive opportunity for startup plans.
