RIA News

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RIAS RIA NEWS OCT 25, 2010
Jack Laporte: An 'extreme' buy-and-hold strategy

Jack Laporte insists that the concept of buying and holding good stocks will never die — in fact, it won't even fade away.

By Bloomberg
RIAS RIA NEWS OCT 25, 2010
Uncertainty hitting investors from all sides

Investing has always been fraught with uncertainty, but rarely has the average investor been confronted with as much uncertainty as is the case now

By MFXFeeder
RIAS RIA NEWS OCT 25, 2010
Health care, tech among best small-cap bets, says Goldman's Rabinowitz

Health care, technology and consumer discretionary stocks are producing some of the best investment opportunities in the small- and mid-cap space, according to Jeff Rabinowitz, manager of the $680 million Goldman Sachs Small/Mid Cap Growth Fund Ticker:(GSMAX).

By Bloomberg
RIAS RIA NEWS OCT 25, 2010
Ohio latest state to add ETFs to 529 plan

Ohio has become the latest state to add exchange-traded funds to its Section 529 college savings plan. The state today launched its new adviser-sold 529 plan with BlackRock Inc.

By Jessica Toonkel
Ivy League football 'mafia' gives Wall Street a talent pipeline
RIAS PRACTICE MANAGEMENT OCT 25, 2010
Ivy League football 'mafia' gives Wall Street a talent pipeline

University of Pennsylvania defensive back Josh Powers may have a better opportunity than playing for college football's national championship: a six- figure Wall Street salary upon graduation.

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING OCT 25, 2010
Retirement leaders push for lifetime-income options in 401(k)s

Retirement industry leaders today pressed officials from the Labor and Treasury departments to ensure that any future “safe-harbor” rules for annuities in 401(k) plans also include other lifetime-income options.

By Darla Mercado
ADVISOR NEWS RETIREMENT PLANNING OCT 25, 2010
Wilmington Trust names new chief risk officer

Wilmington Trust Corp. confirmed today that it has hired Carol Baldwin Moody, the former chief compliance officer at Nationwide Mutual Insurance Co., as its new chief risk officer.

By Hilary Johnson
ADVISOR NEWS RETIREMENT PLANNING OCT 25, 2010
Wilmington Trust nabs new head of credit-risk unit

Robert P. Gehring, a 39-year veteran of the commercial banking industry, has taken over as head of the credit risk unit at Wilmington Trust Corp.

By Hilary Johnson
RIAS RIA NEWS OCT 24, 2010
Finra foe loses appeal of suspension

A broker-dealer executive and outspoken critic of the Financial Industry Regulatory Authority Inc. lost his appeal of a Finra suspension for failing to supervise his staff adequately.

By Bruce Kelly
ADVISOR NEWS RETIREMENT PLANNING OCT 24, 2010
Industry attitudes: Your voices and views

More than 800 financial advisers weighed in on their practices, the economy and regulation in our annual special report.

By Mark Bruno
RIAS RIA NEWS OCT 24, 2010
Special handling needed to protect the homestead

Family homes, because of their great value and emotional ties, are a challenge in estate planning and require special handling

By Richard J. Koreto
RIAS RIA NEWS OCT 24, 2010
Revenue rebounds

Revenue increased for a healthy majority of financial advisers over the past 12 months, according to <i>InvestmentNews</i>' 2010 Industry Attitudes survey &#8212; a clear bounce-back from 2009, when calamitous market conditions struck panic among investors and advisers alike

By Bruce Kelly
RIAS RIA NEWS OCT 24, 2010
Weak economy weighing down market

It's no surprise that advisers are worried about a multitude of economic problems

By Dan Jamieson
RIAS RIA NEWS OCT 24, 2010
Clouds over 2011 may yield to rays of hope for 2012

By Liz Skinner
ADVISOR NEWS RETIREMENT PLANNING OCT 24, 2010
Not everyone's consolidating assets

A common belief in the financial services industry is that individuals consolidate a large chunk of their assets among fewer providers as they near retirement

By MFXFeeder
RIAS RIA NEWS OCT 24, 2010
MFS: Risk aversion is the biggest risk investors face

The biggest risk investors face is becoming too conservative at a time when equities present a potential long-term advantage, according to new research from MFS Investment Management.

By Jeff Benjamin
RESOURCES IRA ALERT OCT 24, 2010
Law creates more options for Roth rollovers

The Small Business Jobs Act of 2010 includes a provision that allows certain 401(k) and 403(b) participants to convert their plan funds to a Roth 401(k) or Roth 403(b) within the plan

By Ed Slott
RIAS RIA NEWS OCT 24, 2010
Where will the next generation of advisers come from?

We've all read (or written) the stories about the average financial adviser, in his or her late 50s, who just can't seem to find the right succession plan.

By Mark Bruno
ADVISOR NEWS WIREHOUSES OCT 22, 2010
Indie B-Ds doing 'considerably better' than large rivals: S&P

Reaffirms independent broker-dealers' credit rating as 'stable'; brokerages could weather unexpected downturn

By Bloomberg
UBS nears wealth management turnaround, as outflows taper off
RIAS RIA NEWS OCT 22, 2010
UBS nears wealth management turnaround, as outflows taper off

UBS AG, Switzerland's biggest bank, will probably report a fourth straight quarterly profit tomorrow and the lowest wealth management redemptions since 2008.

By Bloomberg