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RETIREMENT PLANNING JUL 18, 2017
Managed accounts look attractive to 401(k) advisers, but how do you measure performance?

The customization that makes them a good investment option presents a benchmarking challenge.

By Greg Iacurci
REGULATION AND LEGISLATION JUL 17, 2017
House committees ready two assaults on DOL fiduciary rule this week

One is a vote on a bill to kill Labor's rule and replace it with a disclosure-based best-interest standard, while the second is legislation to prevent funding for enforcement of the regulation.

By Mark Schoeff Jr.
INDUSTRY NEWS JUL 17, 2017
National Holdings' acquisition of broker-dealer WFG Investments and its 200 advisers called off

Under an alternative plan, WFG's advisers will be relocated to three broker-dealers, including one owned by National Holdings.

By Bruce Kelly
INDUSTRY NEWS JUL 17, 2017
Wells Fargo duo managing $230 million goes independent

Two reps in Palm Beach Gardens, Fla., affiliate with Raymond James.

By InvestmentNews
The Holy Grail of Being an Adviser
INDUSTRY NEWS JUL 16, 2017
The Holy Grail of Being an Adviser

The coaches from Focus Partners are back, this time to offer insights on how to not only cultivate Centers of Influence (COIs), but leverage those experts to gain introductions to new prospects.

By InvestmentNews
PRACTICE MANAGEMENT JUL 14, 2017
Kids make same financial mistakes as parents: study

A study of 30 million personal loans finds that when it comes to risk attitude, the apple doesn't fall far from the tree.

By Bloomberg
RIAS JUL 14, 2017
SEC bars adviser to Tim Duncan and obtains judgment

Already facing a four-year prison term and $7.5 million in restitution, Charles Banks IV to pay other penalties.

By InvestmentNews
RETIREMENT PLANNING JUL 14, 2017
How Social Security treats the survivors of young workers

Eligibility rules are more lenient for the survivors of young workers because of their brief careers.

By Mary Beth Franklin
REGULATION AND LEGISLATION JUL 14, 2017
Best interest is in the eye of the beholder in debate over DOL fiduciary rule

Both sides claim they're doing what's best for the average investor.

By Mark Schoeff Jr.
RIAS JUL 14, 2017
Median RIA firm had 25% operating margins in 2016: Schwab

The median RIA firm grew at a 10% compound annual growth rate over last five years, according to the firm's annual study.

By InvestmentNews
RIAS JUL 14, 2017
DFPG Investments acquires RIA managing $220 million

Addition brings AUM at Salt Lake City brokerage/RIA to $1 billion.

By Bloomberg
PRACTICE MANAGEMENT JUL 14, 2017
Wells Fargo sustains more adviser losses following banking scandal

One hundred and thirty advisers left in the second quarter, marking the firm's third consecutive quarter of reductions.

By Greg Iacurci
INDUSTRY NEWS JUL 13, 2017
Broker-dealer managing $1.1 billion joins Signator OSJ

Royal Securities Co. in Grandville, Michigan, affiliates with VantagePointe Financial.

By InvestmentNews
INDUSTRY NEWS JUL 13, 2017
Protecting your kids from identity theft

Once they have a child's Social Security number, hackers can apply for government benefits, open bank and credit card accounts, apply for a loan or rent a place to live.

By Bloomberg
RETIREMENT PLANNING JUL 13, 2017
Men vs. women: Who gets the most out of marriage?

Research finds a woman and a man can have significantly different views of the same marriage.

By Bloomberg
RETIREMENT PLANNING JUL 13, 2017
Why Americans can't seem to retire

The share of older people in the workforce is higher than at any point since before the creation of Medicare.

By Bloomberg
RETIREMENT PLANNING JUL 13, 2017
Appointing and monitoring a 401(k) investment manager under ERISA

A recent district court decision has implications for how retirement plan sponsors should monitor their adviser.

By Marcia S. Wagner
RETIREMENT PLANNING JUL 13, 2017
Social Security reserves still expected to be depleted by 2034: annual report

Depletion of Disability (DI) trust fund pushed back five years due to a temporary increase of its share of the payroll tax.

By Mary Beth Franklin
INDUSTRY NEWS JUL 13, 2017
Vanguard CEO McNabb to step down

Tim Buckley, firm's current chief investment officer, will become president immediately and take the chief executive role Jan. 1.

By Bloomberg
LIFE INSURANCE AND ANNUITIES JUL 13, 2017
Manulife weighs a John Hancock IPO or spin-off

Persistently low interest rates have hammered insurance company profitability.

By InvestmentNews