Advisor News

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RIA NEWS FEB 25, 2016
Boost in SEC examiners to enable closer scrutiny of RIAs

Senior columnist Bruce Kelly says the agency going after conflicts of interest means closer scrutiny of RIAs and their businesses.

By Bruce Kelly
MetLife weighs spinoff of domestic retail business as CEO seeks less oversight
LIFE INSURANCE AND ANNUITIES FEB 25, 2016
MetLife weighs spinoff of domestic retail business as CEO seeks less oversight

After non-bank systemically important financial institution designation, insurer is weighing a possible sale, spinoff or public offering

By Bloomberg
FINTECH FEB 25, 2016
Big data ushers in the predictive future

Broker-dealers are figuring out how to position themselves to deliver on this disruptive technology

By Liz Skinner
REGULATION AND LEGISLATION FEB 24, 2016
SEC nominee Peirce concerned about agency's lack of input on DOL fiduciary

In a confirmation hearing, Hester Peirce expressed concern that the agency has not had appropriate input into the Labor Department rule on investment advice.

By Mark Schoeff Jr.
Financial Engines plans insurance, health care advice for 401(k) participants
RETIREMENT PLANNING FEB 24, 2016
Financial Engines plans insurance, health care advice for 401(k) participants

The 401(k) managed account provider is pushing for more holistic financial planning.

By Greg Iacurci
Why Vanguard is about to engulf the financial planning industry
FINTECH FEB 24, 2016
Why Vanguard is about to engulf the financial planning industry

Steps advisers can take to avoid getting hurt by the fund giant's rise in the planning space.

By Joe Duran
Too many robos crowding the market?
FINTECH FEB 24, 2016
Too many robos crowding the market?

Small startups are trying to break into the crowded ranks of adviser-facing robos. But are there too many players now in the market?

By Alessandra Malito
FINTECH FEB 23, 2016
Pokemon Go demonstrates a growing trend, even for financial advisers

Gamification may be a path for firms looking to engage with their clients on financial planning.

By Alessandra Malito
RETIREMENT PLANNING FEB 23, 2016
How employment affects Social Security

Benefits may be reduced if you claim before 66 and continue to work.

By Mary Beth Franklin
RETIREMENT PLANNING FEB 23, 2016
How employment affects Social Security

Benefits may be reduced if you claim before 66 and continue to work.

By Mary Beth Franklin
How should retirement plans pay their 401(k) fees?
RETIREMENT PLANNING FEB 23, 2016
How should retirement plans pay their 401(k) fees?

Helping allocate retirement plan fees to service providers is becoming increasingly important for advisers, with several different mechanisms to consider.

By Greg Iacurci
Betterment, rivals tap into wide open 401(k) market for robos
FINTECH FEB 23, 2016
Betterment, rivals tap into wide open 401(k) market for robos

In spite of tough hurdles, online platforms are positioning to offer plans to the underserved.

By Alessandra Malito
PRACTICE MANAGEMENT FEB 23, 2016
Bank of America Merrill Lynch increases adviser headcount 3% in 2015

The wirehouse gains headcount even as the brokerage industry braces for a wave of departures from long-term retention deals expiring.

By Christine Idzelis
RETIREMENT PLANNING FEB 22, 2016
What Gene Wilder's death can teach you about estate planning

Because cognitive impairment is likely for most people as they age, you shouldn't wait for signs to start preparing.

By Liz Skinner
RETIREMENT PLANNING FEB 22, 2016
Most Americans earmark tax refunds for savings, debt

More than half of the $330 billion in tax refunds Americans will get back this year will go toward savings or paying down debt — the highest percentage since 2007.

By Bloomberg
RETIREMENT PLANNING FEB 22, 2016
How much confidence do you have in your retirement?

A new survey shows only 47% of women are saving enough for their golden years, compared with 57% of men.

By Bloomberg
Ex-Deutsche Bank analyst banned over rating at odds with opinion
REGULATION AND LEGISLATION FEB 22, 2016
Ex-Deutsche Bank analyst banned over rating at odds with opinion

A former Deutsche Bank AG analyst once ranked among the best in the U.S. will pay a $100,000 penalty and be banned from the securities industry for a year to settle a regulator's claims that he issued a buy recommendation at odds with his personal opinion.

By Bloomberg
Finra cracks down on firms for missing discounts on UIT sales
REGULATION AND LEGISLATION FEB 22, 2016
Finra cracks down on firms for missing discounts on UIT sales

Finra is continuing its crackdown on brokerage firms for failing to give clients discounts for large purchases of investment products.

By Bruce Kelly
REGULATION AND LEGISLATION FEB 22, 2016
How the 2016 presidential candidates stack up with advisers

A look at White House hopefuls' positions on issues impacting financial advice.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION FEB 22, 2016
Donald Trump presidency improbable, not impossible

Surges by the political outsider, as well as by liberal insurgent Bernie Sanders, should make the investment advice industry sit up and take notice

By MFXFeeder