Advisor News

Displaying 26745 results
RETIREMENT PLANNING APR 23, 2018
Litigation, scale push private colleges to adopt multiple employer plans

The movement to create multiple employer plans creates opportunity for retirement plan advisers.

By Blaine F. Aikin
INDEPENDENT BROKER DEALERS APR 21, 2018
Things are looking up: IBDs soared in 2017

With revenue up, interest rates rising and regulation easing, IBDs are soaring.

By Bruce Kelly
Top independent broker-dealers ranked by revenue
INDEPENDENT BROKER DEALERS APR 21, 2018
Top independent broker-dealers ranked by revenue

Data include a breakdown of fee, commission revenue.

By Ellie Zhu
RETIREMENT PLANNING APR 20, 2018
The $1 million gender wealth gap

Compounding female wage inequity jeopardizes retirement security

By Mary Beth Franklin
RETIREMENT PLANNING APR 20, 2018
The rich are betting they can buy their way to a longer life

The successor to income inequality is longevity inequality

By Bloomberg
FINTECH APR 20, 2018
Retail brokers benefitted from the first quarter's volatility

Charles Schwab posted its highest quarterly revenue ever and ETrade saw its highest quarterly sales since 2009.

By Bloomberg
FINTECH APR 20, 2018
SunTrust says data on 1.5 million customers may have been stolen

Cyberthief did not get Social Security numbers or passwords, bank says.

By Bloomberg
REGULATION AND LEGISLATION APR 20, 2018
SEC advice rule may give RIAs leg up over broker-dealers

Experts say advisers will be able to point to their role as fiduciaries as a differentiator in the advice market.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 20, 2018
Wells Fargo to pay $1 billion for consumer-business missteps

Regulators impose penalties over auto, mortgage lending issues.

By Bloomberg
RETIREMENT PLANNING APR 20, 2018
The rich are betting they can buy their way to a longer life

The successor to income inequality is longevity inequality.

By Bloomberg
FINTECH APR 20, 2018
Yes, technology is important to young investors. But they value advisory relationships, too

New research shows that younger advisory clients aren't receiving the service they need.

By apino
RIA NEWS APR 20, 2018
Ed Butowsky charges Schwab with political bias in $100 million lawsuit

Adviser claims he was kicked off custodian's platform because of his political views.

By Jeff Benjamin
SEC advice rule: Here's what you need to know
RIA NEWS APR 19, 2018
SEC advice rule: Here's what you need to know

We sifted through the nearly 1,000-page proposal and picked out some of the most important points.

By Greg Iacurci
RETIREMENT PLANNING APR 19, 2018
Principal sued for stacking its TDFs with proprietary funds

The firm allegedly used high-cost, underperforming index funds in its hybrid target-date funds.

By Greg Iacurci
ALTERNATIVES APR 19, 2018
Cadaret Grant acquired by private-equity-backed Atria

75-year-old owner Arthur Grant positions the IBD for the 'next 33 years.'

By Jeff Benjamin
RETIREMENT PLANNING APR 19, 2018
What a court decision teaches 401(k) advisers about choosing stable-value funds

Selecting a very conservative benchmark is generally permissible under retirement law.

By Marcia S. Wagner
REGULATION AND LEGISLATION APR 19, 2018
Brokers accept proposed SEC rule on who can call themselves an adviser

Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.

By Ryan W. Neal
REGULATION AND LEGISLATION APR 19, 2018
SEC advice rule raises bar for brokers by putting 'best interest' on table

Required policies, procedures give the regulator a way to gauge brokers' follow through on mitigating conflicts.

By Mark Schoeff Jr.
FINTECH APR 18, 2018
Wealthfront cutting costs on its risk parity mutual fund

The digital adviser says it's moved $500 million over to first proprietary fund.

By Ryan W. Neal
REGULATION AND LEGISLATION APR 18, 2018
One adviser's journey to becoming a citizen advocate

FSI member Bradley Brown spent years lobbying the Ohio legislature for reforms in the state's rules on UTMA accounts.

By Dale Brown