Advisor News

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RIA NEWS SEP 03, 2014
Handful of advisers control the majority of client assets

IAA study shows that the top 1% of firms manage more than half of all assets.

By Mark Schoeff Jr.
EQUITIES SEP 03, 2014
'Don't fight the Fed' was never more true

Tuesday's <i>Breakfast with Benjamin</i> menu includes: It's true: Don't fight the Fed. Also: Alibaba mania is here and so is Apple's big day; Wells Fargo faces possible Finra action and about that Home Depot data breach.

By Jeff Benjamin
FINTECH SEP 03, 2014
Big data: New technology comes to compliance

Software companies offer products to help advisers meet intense regulatory demands.

By Joyce Hanson
RETIREMENT PLANNING SEP 03, 2014
Social Security offset rules can cut or eliminate benefits

Public employees, including some schoolteachers, may not be aware of reductions.

By Mary Beth Franklin
FINTECH SEP 03, 2014
Even tech-driven practices have tech-averse clients

Tips on working with elderly clients who have not grown up with the Internet, e-mail and secure portals.

By Bloomberg
RIA NEWS SEP 03, 2014
No summer break for SEC as agency revs up exam pace

There's been no summer break for the SEC, as the regulator's tally for never-examined advisers has been bolstered by a quicker examination process.

By Mark Schoeff Jr.
Finra accuses indie B-D of falling down on anti-money laundering supervision requirements
INDEPENDENT BROKER DEALERS SEP 03, 2014
Finra accuses indie B-D of falling down on anti-money laundering supervision requirements

Aegis Capital is accused of facilitating an alleged penny stock scheme that generated $24.5 million in profits for clients and $1.1 million in commissions for the firm.

By Mason Braswell
FINTECH SEP 02, 2014
Make your website a hot marketing tool

Though rated No. 1 by advisers, most don't maximize the potential of their sites with ongoing improvements.

By Liz Skinner
RETIREMENT PLANNING SEP 02, 2014
How a sad diagnosis changes Social Security claiming strategy

For one couple, shortened life expectancy means they should probably collect benefits early

By Mary Beth Franklin
EQUITIES SEP 02, 2014
Bringing back pooled 401(k) plans could derail a fund industry cash cow

Today's <i>Breakfast with Benjamin</i> menu features: Revisiting the idea of pooled 401(k) plans, plus Jack Bogle gives a half nod to Fed policy, the curious appeal of water ETFs, and more rich folks are calling for a market correction.

By Jeff Benjamin
FINTECH SEP 02, 2014
Don't embarrass Grandma – or your clients

Maintain strict security policies on company cloud files &amp;ndash; and no naked selfies, please

By Bloomberg
PRACTICE MANAGEMENT SEP 02, 2014
Ex-LPL broker to pay nearly $2 million for defrauding clients

Blake Richards misappropriated $1.7 million from at least seven investors, some of whom were elderly, according to the SEC's charges.

By Mason Braswell
RETIREMENT PLANNING SEP 02, 2014
What top 401(k) plans do differently

A new ranking reveals which industries have the best plans &amp;mdash; and what features set them apart.

By Darla Mercado
FINTECH SEP 02, 2014
Hearsay Social lets advisers pay to spread Facebook posts

Advisers on social-networking platform Hearsay can now use new a feature that allows them to distribute promo posts on Facebook. But they have to pay.

By Trevor Hunnicutt
RETIREMENT PLANNING SEP 02, 2014
Some target-date funds are boosting equities

As financial crisis recedes, participants' risk tolerance levels climb and providers adjust

By Robert Steyer
RIA NEWS SEP 02, 2014
HighTower picks up Merrill advisers with $800 million

Three advisers join as partners and will operate as HighTower Fort Myers.

By Mason Braswell
FINTECH AUG 31, 2014
Be ready to provide client portals for performance reporting, consultant recommends

Advisers need to adapt as clients increasingly demand 24/7 access to their accounts from all devices.

By Liz Skinner
OPINION AUG 31, 2014
An accounting is due on wrap accounts

The SEC is following through on its promise to investigate use of these products, and advisers should take heed.

By MFXFeeder
RETIREMENT PLANNING AUG 31, 2014
Small businesses still ailing in wake of Affordable Care Act

The ACA has helped individuals, but small business employers continue to struggle with the new law. <b><i>Plus: <a href=&quot;http://www.investmentnews.com/section/specialreport/20140831/HEALTH&quot;>Don't miss our full Health Care Planning special report.</a></b></i>

By Darla Mercado
ALTERNATIVES AUG 31, 2014
Nonlisted REIT 2Q rankings

By Andrew Leigh