Advisor News

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RETIREMENT PLANNING MAY 12, 2013
Tax risk: Trust gains have additional levy

Experts are just getting their arms around a little-publicized wrinkle in the 2012 law.

By Darla Mercado
FINTECH MAY 12, 2013
A random — but valuable — chat

A random meeting at the Envestnet | Tamarac confab leads to an interesting discussion about investing, trading and being proactive. Davis D. Janowski explains.

By Janowski Davis
INDEPENDENT BROKER DEALERS MAY 12, 2013
Moving from wirehouses pays off

By JKEPHART
REGULATION AND LEGISLATION MAY 12, 2013
Finra fines 3 firms $900K for suspicious trading

Money laundering, lack of supervision cited by regulatory agency.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 12, 2013
Social Security face-off: Analyzer vs. Explorer

Testing two software tools that calculate benefits and help users' wargame claiming strategies

By Janowski Davis
RETIREMENT PLANNING MAY 12, 2013
Variable annuities adjust

May updates show the industry is still struggling with historic low rates.

By Darla Mercado
FINTECH MAY 12, 2013
Financial firms using LinkedIn for content more than jobs

By Liz Skinner
RETIREMENT PLANNING MAY 12, 2013
Flexibility key to retirement planning

A safe withdrawal rate changes with market conditions and the lifestyle goals of the client

By David B. Loeper
RIA NEWS MAY 12, 2013
Attracting new blood a challenge

By Bruce Kelly
RETIREMENT PLANNING MAY 12, 2013
Jackson thrived in 1Q

By Darla Mercado
Recruiting slows for LPL, Raymond James in otherwise solid quarter
INDEPENDENT BROKER DEALERS MAY 10, 2013
Recruiting slows for LPL, Raymond James in otherwise solid quarter

Recruiting slows for LPL, Raymond James in otherwise solid quarter as reps and advisers stay put to keep focus on clients amid stock market rally.

By Bruce Kelly
RIA NEWS MAY 10, 2013
Fidelity Institutional Wealth Services to offer completely cloud-based desktop to RIAs

Offering will include office productivity applications in addition to the firm's WealthCentral platform.

By Janowski Davis
EQUITIES MAY 09, 2013
Pump-and-dump e-mails jump: Regulators

In formal investor alert, SEC, Finra say spamming in "high gear."

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAY 09, 2013
LPL's $7.5M e-mail fine just latest in Finra crackdown

The record fine Finra meted out to LPL for failing to oversee its e-mail system is just the latest in the regulator's crackdown on digital diligence, reports Dan Jamieson.

By DJAMIESON
FINTECH MAY 09, 2013
Finect: They have built it (more or less). Will advisers come?

By Janowski Davis
INDEPENDENT BROKER DEALERS MAY 09, 2013
Business continuity and succession planning

At minimum, every advisor should have a personalized, written emergency continuity plan in place. And the best, most complete solution is a funded continuity and succession plan backed by emergency on-site support in the event of a challenge to business continuity.

By Mark Bruno
WIREHOUSES MAY 08, 2013
Out of the ashes, wirehouses rise

After years of demonization and defections, the Big Four firms are going on the offensive.

By AOSTERLAND
RETIREMENT PLANNING MAY 08, 2013
Death of stretch IRAs would boost life insurance

Tax benefits come to the fore if inherited retirement accounts get the ax

By Darla Mercado
RETIREMENT PLANNING MAY 08, 2013
Alzheimer's epidemic puts advisers — and their practices — at risk

The number of Alzheimer's sufferers in the U.S. is expected to triple by 2050. Mary Beth Franklin warns that the coming epidemic puts advisers -- and their practices -- at serious risk.

By Mary Beth Franklin
RETIREMENT PLANNING MAY 08, 2013
Diagnosis favorable for health care

By Liz Skinner