Advisor News

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RIA NEWS APR 08, 2014
Account opening is No. 1 tech concern: Survey

Beacon finds 'client onboarding' has replaced social-media archiving as brokers' biggest technology challenge.

By Joyce Hanson
RIA NEWS APR 08, 2014
When BRICs go bust, investors head toward frontier markets

<i>Friday's menu:</i> Where investors go when BRICs crack. Plus: How advisers can &amp;mdash; and should &amp;mdash; deal with male and female clients, mounting sanctions drive Russia toward China for economic help, investor class-action lawsuits spike, and saving money on travel.

By Jeff Benjamin
FINTECH APR 08, 2014
Tech firms integrating systems to improve adviser workflows

Four companies working to unify products to better meet adviser needs; system due out later this year

By Liz Skinner
FINTECH APR 07, 2014
Wearable devices edge into the adviser space

Online adviser Personal Capital announces an app for smartwatches, and the advice industry ponders the future of wearable technology in client service.

By Joyce Hanson
RETIREMENT PLANNING APR 07, 2014
Gay couples face tax insanity

22 states do not recognize same-sex marriage, and some require LGBT filers to complete 'dummy' federal returns. Tax year 2013 was the first of what may be many confusing filing seasons.

By Darla Mercado
FINTECH APR 07, 2014
How Lewis' "Flash Boys" will impact the financial advisory industry

There are good books that make you think differently about the world, and occasionally great books that really make you question the underpinnings of what you think reality is. The new Michael Lewis book, &#8220;Flash Boys,&#8221; falls into the latter camp.

By Joe Duran
FINTECH APR 07, 2014
Morningstar's ByAllAccounts deal could give it big edge with advisers

Acquisition could put the fund tracker in the lead of the portfolio accounting and reporting business.

By CODONNELL
FINTECH APR 07, 2014
SunGard enhances WealthStation platform for 401(k) advisers

Designed to help retirement plan advisers gain clients as demand for fiduciaries grows

By Joyce Hanson
REGULATION AND LEGISLATION APR 06, 2014
NASAA PUBLIC POLICY CONF

By Mark Schoeff Jr.
PRACTICE MANAGEMENT APR 04, 2014
Payouts on the rise for wealth management executives

Executives across the industry, from wirehouses to independent and regional firms, are enjoying fatter paychecks and bigger bonuses as advisers become a more important part of firms' balance sheets. <i>(Don't miss some rather outlandish <a href=&quot;http://www.investmentnews.com/gallery/20140324/FREE/324009999/PH&quot; target=&quot;_blank&quot;>top executive benefits</a>.)</i>

By Mason Braswell
REGULATION AND LEGISLATION APR 04, 2014
Finra arbitration panel tags Signator Investors for $1.6 million in selling-away case

Three clients of former broker at Hancock unit receive award for losses in failed land deals.

By Bruce Kelly
WIREHOUSES APR 04, 2014
UBS Puerto Rico closed-end muni investors losing billions

UBS Puerto Rico closed-end muni bond fund investors are losing billions; new research pegs losses at $1.66 billion over the first nine months of 2013.

By Andrew Leigh
FIXED INCOME APR 04, 2014
UBS Puerto Rico faces 'Whopper' of a problem over muni bond funds

The woes stemming from UBS AG's unit in Puerto Rico over the sale of local, closed-end municipal bond funds have landed squarely in the lap of UBS brokers and financial advisers in the island commonwealth.

By Bruce Kelly
INDEPENDENT BROKER DEALERS APR 04, 2014
John Hancock to go with Signator Investors name for broker-dealer

Move designed to create distance between investment creation and distribution.

By Bruce Kelly
FINTECH APR 03, 2014
STUDY GROUP/DISRUPTIVE PRACTICE

By Joyce Hanson
FINTECH APR 03, 2014
Redtail, Riskalyze announce integration

New software partners now sync assets and risk score on a nightly basis.

By Joyce Hanson
REGULATION AND LEGISLATION APR 03, 2014
Trainee lawsuit could clip brokerages' ability to recoup costs

A former Wells Fargo trainee has sued the firm, claiming that its effort to get back $50K in training costs violates labor law. If the claim sticks, brokers could have a tough time recouping such costs from ex-employees who leave firms early.

By Mason Braswell
RETIREMENT PLANNING APR 03, 2014
Putnam, Great-West Financial to combine retirement businesses

Combined companies will have $220B in assets; Putnam chief Robert Reynolds named CEO of Great-West Lifeco U.S.

By Darla Mercado
FINTECH APR 03, 2014
Five ways technology will change the office of the future

Financial advisers will have new ways to manage data and gauge clients' emotions, thanks to new tech developments

By lkonish
RETIREMENT PLANNING APR 03, 2014
Navigating 401(k) rollovers

By Mark Schoeff Jr.