RIA News

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ALTERNATIVES APR 24, 2013
Illiquid BDCs demand scrutiny

By Bruce Kelly
RIA NEWS APR 24, 2013
Adviser at the Boston Marathon relives 911 emotions

Adviser cheering his brother on at the Boston Marathon relives 911 emotions.

By Liz Skinner
RIA NEWS APR 24, 2013
U.S. stock market's irrational exuberance

Don't cave to clients' demands to jump into equities and avoid cash

By Bloomberg
RIA NEWS APR 24, 2013
Hybrid advisers may have skewed report on commission business

Head-scratching results could be from research firm's confusing categories.

By DJAMIESON
RIA NEWS APR 24, 2013
Still wary of advisers, investors using direct retail channel

New data shows that investors are passing up advisers and relying on online retail channels instead. Why is that?

By AOSTERLAND
EQUITIES APR 24, 2013
Google the new Apple of big investors' eyes

Loss of institutional backing can grease the skids of a stock in decline.

By AOSTERLAND
EQUITIES APR 24, 2013
How will Apple regain its mojo? Watch

Smart timepiece may well be the new face of the company; hefty margins

By John Goff
RIA NEWS APR 24, 2013
Schwab wins 'huge' ruling on class-action waivers

A Finra panel on Thursday freed Charles Schwab Corp. to use class-action waivers with customers. That sound you hear? Printers at other brokerages busily cranking out arbitration agreements.

By DJAMIESON
INDEPENDENT BROKER DEALERS APR 24, 2013
Finra proposes a link to BrokerCheck on firm websites

Goal to increase investor awareness; comment period is open.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 24, 2013
LPL beefing up its compliance in wake of Massachusetts suit

In the aftermath of a suit filed by Massachussets, LPL has reined in sales of nontraditional mutual funds.

By Bruce Kelly
RIA NEWS APR 24, 2013
Financial planners' group seeks to attract advisers

Recruitment drop has stemmed but average age of association member is 52

By Mark Schoeff Jr.
RIA NEWS APR 24, 2013
Fidelity launches new salvo in custodian technology "war'

By Bloomberg
INDEPENDENT BROKER DEALERS APR 23, 2013
Stifel turns tables on Wells Fargo with 'scorched earth' claim

Brokers have been battling over recruiting for six years; Stifel CEO sees vendetta.

By DJAMIESON
RIA NEWS APR 23, 2013
Advisers at marathon recall harrowing moments

Witnesses to the events at the Boston Marathon continue to share their stories. Advisers were there, too: One was near the end of her 26 miles when the bombs went off.

By Liz Skinner
INDEPENDENT BROKER DEALERS APR 23, 2013
Raymond James cuts 160 staffers, no advisers

'Unprecedented' layoffs linked to Morgan Keegan deal.

By Bruce Kelly
RIA NEWS APR 23, 2013
SEC charges Belesis, hedge fund manager with fraud

Troubles mount for beleagured B-D owner as Commission files charges; Finra in the wings

By Mark Schoeff Jr.
RIA NEWS APR 23, 2013
New normal getting old: Another year of slow growth for U.S.

Economy to stay on same path for rest of 2013

By Saumil H. Parikh
EQUITIES APR 22, 2013
Is 2013 a 2008 moment for bond investors?

Bond investors are going through something they've never experienced before: Their fixed-income portfolios are getting whacked. Many are fleeing — and may not come back for a long long time.

By JKEPHART
FIXED INCOME APR 22, 2013
Investors head for the exits, yank record amount of cash from bond funds

Led by Pimco's Total Return, funds lose $60B in June as rate rise spooks investors.

By JKEPHART
EQUITIES APR 22, 2013
If you like volatility, this market is for you

Fed's Lacker, an opponent of more stimulus, says expect more price swings amid taper debate.

By Gregory Crawford