Advisor News

Displaying 26748 results
RETIREMENT PLANNING JAN 24, 2018
Fidelity pushes Vanguard to compete on brand in 401(k) plans

With Fidelity imposing an additional fee, Vanguard likely will look less attractive compared with comparably priced index-fund providers, advisers said.

By Greg Iacurci
PRACTICE MANAGEMENT JAN 24, 2018
Finra arbitrators award $878,712 to broker wrongfully terminated by Ameriprise

But suspension remains in effect until April

By Mark Schoeff Jr.
PRACTICE MANAGEMENT JAN 24, 2018
As two wirehouses bail, RIAs flock to broker protocol

Small RIAs see only the upside of joining the agreement, which allows them to recruit without fear of litigation

By Jeff Benjamin
REGULATION AND LEGISLATION JAN 24, 2018
Finra suspends, fines broker for posting fake sex ads

Paul Betenbaugh admitted to impersonating a former Edward Jones colleague on Craigslist to disparage the competitor.

By Ryan W. Neal
REGULATION AND LEGISLATION JAN 23, 2018
Finra arbitrators award more than $4 million in case against rogue broker

The settlement would make the harmed investors whole, but can they collect?

By Mark Schoeff Jr.
Fintech startup wants to help advisers find and sell muni bonds
FINTECH JAN 23, 2018
Fintech startup wants to help advisers find and sell muni bonds

280 CapMarkets says its Bond Navigator product is like Zillow for bonds

By Ryan W. Neal
RETIREMENT PLANNING JAN 23, 2018
New tool helps advisers estimate health care costs

Data analysis can illustrate how healthy behavior increases longevity and reduces retirement expenses.

By Mary Beth Franklin
FINTECH JAN 23, 2018
Retirement robo-adviser doubled assets to $2 billion in six months

Blooom's free analysis generating impressive client conversion statistics.

By Ryan W. Neal
RETIREMENT PLANNING JAN 23, 2018
Retirement risks keep rising

Increasing longevity is a key factor explaining why a growing portion of Americans aren't ready for retirement.

By Justin Fox
FINTECH JAN 23, 2018
Betterment beefs up 401(k) advisory board with ex-Vanguard expert

Barbara Fallon-Walsh, a former Vanguard executive, could help the robo boost its record-keeping business

By Ryan W. Neal
RETIREMENT PLANNING JAN 22, 2018
How 401(k) deductions were saved in budget drama

Diverse efforts and a tweet from Trump came together for rescue

By Hazel Bradford
RETIREMENT PLANNING JAN 22, 2018
Social Security payments to continue during government shutdown

Limited services available in field offices during funding lapse.

By Mary Beth Franklin
RIA NEWS JAN 22, 2018
XY Planning Network payment tool now available for all fee-based planners

Michael Kitces and Alan Moore want paying for financial advice to be as easy as Netflix subscription.

By Ryan W. Neal
WIREHOUSES JAN 22, 2018
Morgan Stanley seeks to clarify Harold Ford Jr.'s termination

Firm says he was not fired for sexual misconduct.

By Bloomberg
RETIREMENT PLANNING JAN 22, 2018
Fidelity charging new fee on Vanguard assets held in 401(k) plans

The 0.05% fee is ostensibly a response to Vanguard's distribution model, but may also make the company's funds less attractive due to higher cost.

By Greg Iacurci
WIREHOUSES JAN 22, 2018
UBS adviser count continues to decline

Firm to merge U.S., global wealth management units on Feb. 1

By Bruce Kelly
OPINION JAN 22, 2018
Financial advisers should avoid error by omission and consider reverse mortgages

The vast majority of financial services professionals still fail to incorporate home equity planning or reverse mortgages into their practices

By Jamie Hopkins
RETIREMENT PLANNING JAN 22, 2018
Are you walking into a TDF trap?

Outdated assumptions about younger investors risk harming their returns.

By David M. Haviland
REGULATION AND LEGISLATION JAN 20, 2018
Cutting through the red tape of adviser regulation is tricky

Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION JAN 20, 2018
Supreme Court review will bolster fairness of SEC's in-house judges

Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.

By crain-api