Advisor News

Displaying 26701 results
REGULATION AND LEGISLATION NOV 03, 2014
Advisers hope GOP Senate will be good for Washington productivity

Investment advisers optimistic that Republican takeover of the Senate will create a better political atmosphere.

By Mark Schoeff Jr.
RETIREMENT PLANNING NOV 03, 2014
Forget empty nests: more parents cope with full ones

By Liz Skinner
ALTERNATIVES NOV 03, 2014
Two Schorsch companies at odds over $700M deal

RCS Capital seeks to pull out of a $700M deal to acquire two Cole companies from American Realty Capital Properties, which last week <a href="//www.investmentnews.com/article/20141029/FREE/141029902/nicholas-schorsch-downplays-arcps-23m-accounting-debacle&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">revealed a $23M accounting error</a>.

By Bruce Kelly
EQUITIES NOV 03, 2014
Money managers scraping to catch up to record stock market

On Monday's <i>Breakfast with Benjamin</i> menu: Fund managers in a bind. <i>Plus</i> more trouble for Nicholas Schorsch? And Republicans looking stronger going into Election Day, stocks to consider with a GOP-controlled Congress, it's time to think about taxes already.

By Jeff Benjamin
RIA NEWS NOV 03, 2014
Charles Schwab to launch free 'robo'-adviser next quarter

Launching its own online advice platform, Charles Schwab is aiming to make low-cost, web-based advice even cheaper, but some industry watchers say it could rankle advisers who keep assets with the custodian.

By Mason Braswell
RETIREMENT PLANNING NOV 03, 2014
The Fed's QE sleight of hand: Please ignore that $4.5T balance sheet

<i>Breakfast with Benjamin</i> - The Federal Reserve's QE sleight of hand, cheap oil's winners and losers, Schwab bringing advisers premium Morningstar access, and more.

By Jeff Benjamin
Bill Gross' exit sparked massive outflows at Pimco
OPINION NOV 03, 2014
Bill Gross' exit sparked massive outflows at Pimco

Investors pulled billions from his former mutual fund, Pimco Total Return, upon the news of his departure.

By Jeff Tjornehoj
REGULATION AND LEGISLATION NOV 03, 2014
Getting a fair shake in arbitration

A well-educated arbitrator will be better able to see phony arguments from both sides in a dispute.

By MFXFeeder
REGULATION AND LEGISLATION NOV 02, 2014
Brokers get a mixed review on how they treat older investors

More than a third of brokerage firms examined by Finra and the SEC made one or more potentially unsuitable recommendations of variable annuities to senior investors.

By Liz Skinner
FINTECH NOV 02, 2014
Ron Carson's business is a highflier

Rigorous use of data keeps firm on top

By Trevor Hunnicutt
OPINION NOV 02, 2014
Time to move quickly to aid the impaired

Dementia, Alzheimer's puts advisers in a bind when they try to intervene on behalf of impaired clients

By MFXFeeder
RETIREMENT PLANNING NOV 02, 2014
Wrangling clients' health care costs in retirement

Advisers are turning to various services to estimate the unknowable in retirement

By Darla Mercado
OPINION NOV 02, 2014
Big glitches go beyond the numbers

$23M issues at ARCP, LPL show breakneck paces of growth can lead to cracks in the corporate fa&ccedil;ade.

By MFXFeeder
RETIREMENT PLANNING OCT 31, 2014
In an electronic age, why are banks so slow?

The fix that could speed your deposits

By Bloomberg
ALTERNATIVES OCT 31, 2014
National Planning Holdings puts kibosh on ARC nontraded REIT sales

After Nicholas Schorsch's giant traded REIT, American Realty Capital Properties, <a href=&quot;http://www.investmentnews.com/article/20141029/FREE/141029916&quot;>revealed a big accounting debacle</a>, one large broker-dealer network temporarily put a stop to sales of one of Mr. Schorsch's nontraded REITs.

By Bruce Kelly
RETIREMENT PLANNING OCT 31, 2014
New rules for annuities and target date funds inspire products race

Firms are at the drawing board designing retirement products, thanks to new guidance issued last week by the Treasury and Labor departments

By Darla Mercado
ALTERNATIVES OCT 30, 2014
Norm Champ to depart SEC

Head of the agency's Division of Investment Management will leave before the end of the month

By Mark Schoeff Jr.
REGULATION AND LEGISLATION OCT 30, 2014
Finra fines Pershing $3 million for customer protection rule violations

Regulator says the clearing and custody firm violated the customer protection rule, which requires that a certain level of funds be set aside to protect against broker-dealer misuse or insolvency.

By Mason Braswell
PRACTICE MANAGEMENT OCT 30, 2014
As regulators tap into big data, advisers need to up compliance attention

SEC examiners are using a new analysis tool that looks at 27 different areas of data from advisory firms, securities lawyer says.

By Liz Skinner
RETIREMENT PLANNING OCT 30, 2014
BlackRock names Castille as chief retirement strategist

Former head of firm's defined contribution unit will focus on target date business, retirement indexes, create research platform.

By Bloomberg