RIA News

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RETIREMENT PLANNING AUG 12, 2014
Vanguard passes Fidelity to become No. 1 in 401(k) assets

Stock market rally in 2013 helped boost numbers; Fidelity remains tops in 401(k) recordkeeping assets.

By Gregory Crawford
FINTECH AUG 12, 2014
LPL upgrades retirement planning platform

Changes to Worksite Financial Solutions will enable participants to access plans on mobile devices.

By Joyce Hanson
REGULATION AND LEGISLATION AUG 11, 2014
The 'Teflon Banker' gets what he wants

After cancer treatment, Jamie Dimon is back as banking's man in Washington.

By Bloomberg
RIA NEWS AUG 11, 2014
Financial Engines CEO to step down in 2015

Lawrence Raffone will replace CEO and co-founder Jeffrey Maggioncalda, who will leave Jan. 1.

By Mason Braswell
INDEPENDENT BROKER DEALERS AUG 11, 2014
LPL cuts Houston branch manager Jeb Bashaw

Star broker has moved to Wunderlich Securities following termination.

By Bruce Kelly
RIA NEWS AUG 11, 2014
HighTower adds $440M team from Merrill

The hybrid firm has brought on over $1 billion in assets from the wirehouse in the past month.

By Mason Braswell
INDEPENDENT BROKER DEALERS AUG 11, 2014
LPL's chief investment officer reads market tea leaves

Burt White is sticking to his previous call that stocks will produce 10% gains in 2014, with room potentially to move slightly higher.

By Bruce Kelly
INDEPENDENT BROKER DEALERS AUG 11, 2014
Schorsch strikes again

Nicholas Schorsch has returned to wheeling and dealing, with the broker-dealer he controls, RCS Capital Corp., announcing it has agreed to buy VSR Financial Services, an independent firm known for selling alternative investments.

By Bruce Kelly
RETIREMENT PLANNING AUG 11, 2014
Social Security: What professional women need to know

The right claiming strategy can significantly increase lifetime benefits

By Mary Beth Franklin
RETIREMENT PLANNING AUG 11, 2014
Creative claiming strategies increase Social Security benefits

A few important concepts can help clients bring in more during their retirement years.

By Minda Smiley
PRACTICE MANAGEMENT AUG 11, 2014
Wall Street firms band together to support a headhunter's cause

By Danny Sarch
INDEPENDENT BROKER DEALERS AUG 11, 2014
For fund managers, high-yield pullback comes with liquidity risks

Lower broker-dealer bond inventories and growing use of high-yield funds could test markets, increase price swings.

By Trevor Hunnicutt
INDEPENDENT BROKER DEALERS AUG 11, 2014
Ladenburg Thalmann acquires insurance brokerage

By Bloomberg
RIA NEWS AUG 11, 2014
HighTower adds $400 million RIA to partnership

Firm adds 43rd team to its partnership as it begins deploying funds from a $100M loan to boost recruiting. <i>See <a href=&quot;http://data.investmentnews.com/aotm/&quot;>IN's Advisers on the Move</a> for other big deals.</i>

By Mason Braswell
RETIREMENT PLANNING AUG 11, 2014
Surrender fees haunt legacy 403(b) plans

As employers move to lower-cost retirement options, some plans charge as much as 8% to switch.

By Darla Mercado
EMERGING MARKETS AUG 11, 2014
Equity ETF investors kept the pedal to the metal in the second quarter

By Tom Roseen
RIA NEWS AUG 11, 2014
HighTower nabs top FiNet recruiter

Firm signs Kimberly Hollenbeck to help recruit on the West coast; fills position left open by Kevin Geary.

By Mason Braswell
RETIREMENT PLANNING AUG 11, 2014
Retirement savers' fund fees move lower: ICI

A trade group's study says tough competition between fund managers is driving fees in 401(k) plans lower &#8212; but investors still may not be getting a good deal.

By Trevor Hunnicutt
ALTERNATIVES AUG 11, 2014
MainStay jumps into MLP space with mutual funds

A mutual fund wrap provides easier access to MLPs but mutes their tax advantages.

By Jeff Benjamin
INDEPENDENT BROKER DEALERS AUG 11, 2014
Is AIG Advisor Group the next big fish Schorsch wants to land?

Larry Roth's old firm might be the next target for Nick Schorsch's hard-charging broker-dealer, says senior columnist Bruce Kelly. <i><a href="//www.investmentnews.com/gallery/20140116/FREE/116009999/PH&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Plus: See the biggest recent indie B-D M&amp;A deals</a></i>

By Bruce Kelly