Advisor News

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RCS Capital Corp. suffers big revenue hit in fourth quarter
ALTERNATIVES MAR 02, 2015
RCS Capital Corp. suffers big revenue hit in fourth quarter

Fallout from ARCP hurt wholesaling unit but executives remain confident in recovery.

By Mason Braswell
FINTECH MAR 01, 2015
Broker-dealer expands crowdfunding reach with new partnership

Broker-dealer North Capital Private Securities adds crowdfunding site OneVest to its platform that syndicates private offerings for investors.

By Alessandra Malito
OPINION MAR 01, 2015
Heading to court, but which one?

Increasing transparency would go a long way in deflecting criticism that the SEC steers cases to its owns judges

By MFXFeeder
EQUITIES MAR 01, 2015
Why an offense-only strategy won't succeed

Risk management is as important to long-term financial planning as the growth of investments

By Michael Russo
PRACTICE MANAGEMENT MAR 01, 2015
Why all investment advisers should join forces to promote the profession

Investors don't understand the core characteristics and key differences between investment advisers and other financial services providers, according to David Tittsworth.

By Bloomberg
INDEPENDENT BROKER DEALERS MAR 01, 2015
The loudest shouldn't speak for everyone

Time for advisers to tell industry groups pushing hard against a fiduciary rule that they're tired of the rhetoric — and that they're not acting in advisers' best interests.

By MFXFeeder
RETIREMENT PLANNING MAR 01, 2015
Demand for socially responsible investing options in 401(k)s on the rise

Money managers say more participants want to link retirement savings to values.

By Liz Skinner
RETIREMENT PLANNING FEB 28, 2015
When is a good time to convert to a Roth IRA?

<i>Breakfast with Benjamin:</i> When it's OK to convert to a Roth IRA. Plus: Two emerge as Buffett successors; recognizing seasoned financial veterans, and Asian stocks get a boost from Chinese bankers.

By Jeff Benjamin
RETIREMENT PLANNING FEB 27, 2015
Rents are rising, but are the tax headaches worth it?

A primer on the costs of becoming a landlord.

By Darla Mercado
RETIREMENT PLANNING FEB 27, 2015
Genworth Financial struggling under the weight of long-term care costs

Insurance giant stung by cost of elder care, longer life spans of retirees and persistently low interest rates.

By Bloomberg
RETIREMENT PLANNING FEB 27, 2015
Income from rental properties requires careful tax planning

Second homes can provide good income, but are clients ready for the tax filing and landlord burden?

By Darla Mercado
Oscars shine light on Alzheimer's costs
RETIREMENT PLANNING FEB 27, 2015
Oscars shine light on Alzheimer's costs

Financial advisers can help clients take early steps to plan for the progressive disease.

By Liz Skinner
House set to vote on making tax breaks for IRA charitable donations permanent
RETIREMENT PLANNING FEB 27, 2015
House set to vote on making tax breaks for IRA charitable donations permanent

Advisers are hopeful that the House will approve making tax breaks for IRA charitable donations permanent, but are trying to keep expectations low.

By Mark Schoeff Jr.
MetLife plans to sue to overturn Dodd-Frank systemic-risk label
LIFE INSURANCE AND ANNUITIES FEB 27, 2015
MetLife plans to sue to overturn Dodd-Frank systemic-risk label

The insurer will be the first non-bank to argue that its failure would not pose a threat to the financial system.

By Bloomberg
REGULATION AND LEGISLATION FEB 26, 2015
CFPB study reveals downside of mandatory arbitration

With spotlight on consumer confusion, harm, some think SEC will be swayed to quicker action reviewing brokerage contracts.

By Mark Schoeff Jr.
Brokers do a better job at cybersecurity than investment advisers: SEC
RIA NEWS FEB 26, 2015
Brokers do a better job at cybersecurity than investment advisers: SEC

Brokers do a better job at cybersecurity than investments adviser, according to the SEC.

By Mark Schoeff Jr.
Meet the 529 ABLE account: A new way to save for disabled beneficiaries
RETIREMENT PLANNING FEB 26, 2015
Meet the 529 ABLE account: A new way to save for disabled beneficiaries

Clients with disabled children get a new vehicle

By Darla Mercado
RETIREMENT PLANNING FEB 26, 2015
Should you use prepaid college tuition plans?

As more schools sign on, the guarantees and tuition cost savings grow more attractive.

By Liz Skinner
RIA NEWS FEB 26, 2015
Seeing writing on wall from Finra, Schwab throws in towel on class action lawsuit

As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fine.

By Mark Schoeff Jr.
RETIREMENT PLANNING FEB 25, 2015
SIFMA claims White House figures on DOL rule flawed

A new paper by the organization concludes $17 billion estimate of lost retirement savings not substantiated.

By Liz Skinner