Advisor News

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RETIREMENT PLANNING NOV 19, 2015
Five year-end moves to make you richer

Now is the time to sit down and focus on your finances.

By Bloomberg
Cybersecurity for the insecure RIA
OPINION NOV 19, 2015
Cybersecurity for the insecure RIA

Ways to prevent a bad outcome when examiners come to assess your cybersecurity efforts

By Les Abromovitz
REGULATION AND LEGISLATION NOV 19, 2015
Nicholas Schorsch's RCAP gets scorched on multiple fronts

By Mark Schoeff Jr.
UBS scores $2 billion Morgan Stanley team
PRACTICE MANAGEMENT NOV 19, 2015
UBS scores $2 billion Morgan Stanley team

The third billion-dollar-plus team to leave Morgan this summer is the latest in a series of big swaps.

By Mason Braswell
PRACTICE MANAGEMENT NOV 18, 2015
It's the time of year when wirehouses tinker with adviser pay plans

Firms need to think differently as the arms race in upfront money continues unabated.

By DSARCH
Graying advisers perform juggling act with baby-boomer, millennial clients
RETIREMENT PLANNING NOV 18, 2015
Graying advisers perform juggling act with baby-boomer, millennial clients

Working with retirement clients presents great challenges and opportunities. No two clients are alike and they need personalized solutions.

By Mary Beth Franklin
$5B Credit Suisse team latest to spurn Wells Fargo by joining Morgan Stanley
PRACTICE MANAGEMENT NOV 18, 2015
$5B Credit Suisse team latest to spurn Wells Fargo by joining Morgan Stanley

Wells finds exclusive recruiting agreement not enough to close the deal with all of the Swiss firm's brokers.

By Laura Sanicola
How to minimize the sting of 2016 Medicare premium rates
RETIREMENT PLANNING NOV 18, 2015
How to minimize the sting of 2016 Medicare premium rates

Beneficiaries who can't avoid an increase can still find ways to manage through the hike.

By Katy Votava
UBS hires three Credit Suisse teams with $3.2B in assets
PRACTICE MANAGEMENT NOV 18, 2015
UBS hires three Credit Suisse teams with $3.2B in assets

Houston-based brokers, who specialize in ultra-high-net-worth clients, include vets from Credit Suisse.

By Laura Sanicola
Health costs derail common retirement savings benchmark
RETIREMENT PLANNING NOV 18, 2015
Health costs derail common retirement savings benchmark

Steeply rising health costs call for a more dynamic retirement planning approach than traditional income replacement ratios.

By Greg Iacurci
Northeast better suited for retirement than rest of country: Personal Capital
RETIREMENT PLANNING NOV 18, 2015
Northeast better suited for retirement than rest of country: Personal Capital

Study examines regional differences in retirement readiness; lessons for advisers.

By Alessandra Malito
DOL, industry spar over cost estimates for fiduciary rule
RETIREMENT PLANNING NOV 18, 2015
DOL, industry spar over cost estimates for fiduciary rule

Perez defends White House study, while SIFMA and ICI attack it.

By Mark Schoeff Jr.
Is it possible to add clients, earn more and work less?
FINTECH NOV 17, 2015
Is it possible to add clients, earn more and work less?

Even for small 'lifestyle practices,' technology can help make a firm more efficient and successful.

By Bloomberg
CEO Roth to advisers: Cetera has six potential suitors
INDEPENDENT BROKER DEALERS NOV 17, 2015
CEO Roth to advisers: Cetera has six potential suitors

A deal to sell the broker-dealer outright or to attract a large private equity investor is anticipated by year-end.

By Bruce Kelly
Financial Engines' acquisition of The Mutual Fund Store a turning point in robo debate
FINTECH NOV 17, 2015
Financial Engines' acquisition of The Mutual Fund Store a turning point in robo debate

Deal is proof positive that online advice platforms will need human advisers to offer a full menu of financial planning services.

By Alessandra Malito
NAPFA leader claims 'moral high ground' in fiduciary fight
RETIREMENT PLANNING NOV 17, 2015
NAPFA leader claims 'moral high ground' in fiduciary fight

Organization wants to strengthen its lobbying punch to counter the likes of NAIFA and others that oppose a clients' best interests rule.

By Mark Schoeff Jr.
Pennsylvania advisers with $425M AUM jump to UBS
PRACTICE MANAGEMENT NOV 17, 2015
Pennsylvania advisers with $425M AUM jump to UBS

One three-man team had $270M in assets, while a fourth individual joining separately had $155M.

By Laura Sanicola
Big IBD Next Financial on the block
INDEPENDENT BROKER DEALERS NOV 17, 2015
Big IBD Next Financial on the block

Though top officials are keeping mum, industry executives say prospective buyers have been kicking the tires on this indie brokerage with 739 affiliated registered reps and advisers.

By Bruce Kelly
Financial markets brace for fallout from the Paris terror attacks
EQUITIES NOV 16, 2015
Financial markets brace for fallout from the Paris terror attacks

<i>Breakfast with Benjamin</i>: The financial markets are likely to be swept up in the immediate unrest following Friday's terror attacks in Paris.

By Jeff Benjamin
Calpers makes another move away from pricey investments by trimming real estate exposure
ALTERNATIVES NOV 16, 2015
Calpers makes another move away from pricey investments by trimming real estate exposure

<i>Breakfast with Benjamin</i>: Nation's largest public pension fund trims its real estate holdings with a $3B sale.

By Jeff Benjamin