RIA News

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INDEPENDENT BROKER DEALERS FEB 17, 2013
Breakaway brokers staying put in 2013

Improved financial markets and retention pay cited as reasons for keeping brokers at wirehouses

By AOSTERLAND
INDEPENDENT BROKER DEALERS FEB 17, 2013
Edwards firm hits milestone of 100 brokers

New office in Melbourne, Fla. is the firm's 28th location

By DJAMIESON
IRA ALERT FEB 17, 2013
Take a fresh look at Roth conversions

With tax issue settled, it's time for financial advisers to help clients re-evaluate their plans

By Ed Slott
WIREHOUSES FEB 17, 2013
Schwab expanding one franchise at a time

By DJAMIESON
MUTUAL FUNDS FEB 15, 2013
iShares is rethinking index contracts

BlackRock Inc.'s iShares is reviewing its contracts with index providers in light of The Vanguard Group Inc.'s switch to flat fees for licensing indexes.

By JKEPHART
FIXED INCOME FEB 14, 2013
BlackRock fixed-income chief Fisher moving to research

After unit's restructuring, Rieder and Holt to take over.

By Gregory Crawford
RIA NEWS FEB 14, 2013
Ship of fools? Fed's QE tack will let loose inflation

Research Affiliates' Jason Hsu warns about too much nominal weath and two few goods

By Jason Hsu
WIREHOUSES FEB 13, 2013
HighTower back in the market with big Merrill team addition

After Q4 hiatus, firm adds Philly area team managing $650M in assets.

By AOSTERLAND
RIA NEWS FEB 13, 2013
Legg Mason new head, Joseph Sullivan, faces tall order

Joseph Sullivan has served as Legg Mason's interim boss for five months. Now that he's been given the job permanently, the company's new CEO faces a tough slog.

By Jeff Benjamin
OPINION FEB 13, 2013
Referrals: It's not them, it's you

Before they can expect to get a reasonable number of referrals, advisers need to ask some tough questions about themselves

By John Anderson
INDEPENDENT BROKER DEALERS FEB 13, 2013
Clouds gathering over independent B-D owner Belesis

As Nemo approaches, Bruce Kelly reports that a dark patch also appears to be gathering over B-D owner -- and media darling -- Anastasios 'Tommy' Belesis.

By Bruce Kelly
RIA NEWS FEB 13, 2013
New family tradition: Not opening a 529

Miniscule percentage of households have put money into college savings account, GAO finds

By Liz Skinner
EQUITIES FEB 12, 2013
Stocks: Too far, too fast?

Some market watchers say equity investors are too complacent about risks, but new indicators back the bulls

By Mark Luschini
RIA NEWS FEB 12, 2013
Legg Mason close to naming new CEO: Report

Strategy unclear as firm deals with Peltz, who seeks breakup.

By Jeff Benjamin
FIXED INCOME FEB 12, 2013
'Bleeding Kansas' a worry for muni investors

By Bloomberg
RETIREMENT PLANNING FEB 12, 2013
The evolving nonlisted-REIT industry

By Bob Aisner
A fourth asset class? Investors are piling in
RIA NEWS FEB 12, 2013
A fourth asset class? Investors are piling in

Hedged-equity funds offer downside protection — and some upside

By Jeff Benjamin
INDEPENDENT BROKER DEALERS FEB 12, 2013
The largest broker-dealer RIAs

By mlanche
Legg Mason CEO stepping down, turnaround elusive
MUTUAL FUNDS FEB 12, 2013
Legg Mason CEO stepping down, turnaround elusive

Four years ago, Mark Fetting took over the reins at the mutual fund giant in a bid to turn the company around. It hasn't worked out. Now, Fetting is on the way out.

By JKEPHART
Gold standard? Why not a sand standard, Edelman asks
RIA NEWS FEB 12, 2013
Gold standard? Why not a sand standard, Edelman asks

Adviser bashes GOP plan to consider return to money backed by metal; others not hot on the idea, either

By AOSTERLAND