Advisor News

Displaying 26684 results
REGULATION AND LEGISLATION FEB 09, 2012
Advisers see Romney as centrist most likely to unseat Obama

Mitt Romney may have trouble convincing some Republicans of his conservative bona fides, but his emergence as the GOP presidential front-runner is just fine with investment advisers, many of whom think that he has the best chance of beating President Barack Obama.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION FEB 09, 2012
Romney tax plan more deficit booster than deficit buster: Study

A new study by the non-partisan Tax Policy Center shows that Mitt Romney's tax plan would add $600 billion to the government shortfall.

By John Goff
RIA NEWS FEB 09, 2012
Sluggish start, but recruiting moves heating up to close 2011

While some aspects of recruiting activity in the brokerage industry appears to have slowed a bit in 2011, things have started to heat up as of late -- with a number of large teams recently changing place, according to data tracked by <i>InvestmentNews.</i>

By Mark Bruno
OPINION FEB 09, 2012
Why this is a golden age of opportunity for financial advisers

By Bloomberg
INDEPENDENT BROKER DEALERS FEB 08, 2012
Chart of the day: LPL down nearly 10% on earnings miss

LPL posted a profit for the fourth quarter, but missed its earnings estimates causing the stock to drop nearly 10% today.

By Mark Bruno
Not clued in about LinkedIn? Big mistake, advisers say
FINTECH FEB 08, 2012
Not clued in about LinkedIn? Big mistake, advisers say

Social networking a swell way to land clients; 'great platforms'

By Bloomberg
RETIREMENT PLANNING FEB 07, 2012
Romney's IRA holdings pique interest

By Bloomberg
Investment pros see Romney's tax break as welfare for the Mitt
REGULATION AND LEGISLATION FEB 07, 2012
Investment pros see Romney's tax break as welfare for the Mitt

Survey finds little support for carried interest income treatment; 'scream bloody murder'

By John Goff
Plan advisers want cost info first when talking to wholesalers
RIA NEWS FEB 07, 2012
Plan advisers want cost info first when talking to wholesalers

Retirement plan advisers are most interested about fees and expenses when talking to fund wholesalers.

By Bloomberg
RETIREMENT PLANNING FEB 07, 2012
Eyes on college, not the cash

By Lavonne Kuykendall
Bridgewater, AQR take aim at DC assets
RETIREMENT PLANNING FEB 07, 2012
Bridgewater, AQR take aim at DC assets

Alternative investment managers Bridgewater Associates and AQR Capital Management are turning their attention to the defined contribution plan market with tweaks to their strategies.

By Christine Williamson
Tech vendors unveil new offerings at TD's conference
FINTECH FEB 06, 2012
Tech vendors unveil new offerings at TD's conference

By Bloomberg
RETIREMENT PLANNING FEB 05, 2012
Matson: Advisers often play along with bad strategy to keep clients happy

By Bloomberg
FINTECH FEB 05, 2012
Past performance may be a harbinger for future, after all

By MFXFeeder
FINTECH FEB 05, 2012
Tech update: Data standards elusive

Lack of data standards has slowed the evolution of the advisory business. &#8220;Things move at glacial speed in the financial services world,&#8221; said Bill Harris, who is probably best known for having served as chief executive at both PayPal and Intuit Inc.

By Bloomberg
Ketchum: Finra's focus on conflicts of interest compounding
REGULATION AND LEGISLATION FEB 03, 2012
Ketchum: Finra's focus on conflicts of interest compounding

SRO's boss says issue now a top concern for regulator; also homing in on disclosure for complex products

By Bruce Kelly
Finra-Schwab dispute heats up
REGULATION AND LEGISLATION FEB 03, 2012
Finra-Schwab dispute heats up

Flap stems from brokerage's new arbitration agreement prohibiting customers from filing class action

By Dan Jamieson
Saving for retirement: Getting help from the boss
RETIREMENT PLANNING FEB 03, 2012
Saving for retirement: Getting help from the boss

If there is a silver lining to the financial crisis, it may be that Americans are finally waking up to the notion that they need to save more for retirement.

By Mary Beth Franklin
RIA NEWS FEB 03, 2012
Don't change rules because of deadbeat brokers

While brokerage firms have every right to expect former brokers to honor the agreements they make when accepting recruiting and retention bonuses, Finra should resist pressure to rewrite its rules to make it easier for firms to collect unreturned bonuses.

By MFXFeeder
FINTECH FEB 03, 2012
Social-media action steps for the New Year

By MFXFeeder