RIA News

Displaying 36712 results
Advisers should aspire to the endowment investment model
INVESTING ALTERNATIVES JUL 14, 2020
Advisers should aspire to the endowment investment model

There are benefits for advisers that create more than just a balanced portfolio for clients

By Jeff Benjamin
Wells Fargo reports drop in advisers, assets for Q2
RIAS PRACTICE MANAGEMENT JUL 14, 2020
Wells Fargo reports drop in advisers, assets for Q2

Wells Fargo Advisors says it is focused on hiring bigger producing teams

By Bruce Kelly
Sustainability concerns behind Burger King's new Whopper
RIAS RIA NEWS JUL 14, 2020
Sustainability concerns behind Burger King's new Whopper

Lemongrass-fed cattle expected to emit a third fewer greenhouse gases

By Bloomberg
After a choppy start, RIA M&A regains momentum in 2020
RIAS RIA NEWS JUL 14, 2020
After a choppy start, RIA M&A regains momentum in 2020

More and larger deals suggests the second half could reach record levels

By Jeff Benjamin
By the Numbers: Learn more about this year's honorees
RIAS RIA NEWS JUL 14, 2020
By the Numbers: Learn more about this year's honorees

By InvestmentNews
Dasarte Yarnway: This year’s youngest 40 Under 40
RIAS RIA NEWS JUL 14, 2020
Dasarte Yarnway: This year’s youngest 40 Under 40

By InvestmentNews
Lawmakers press Robinhood about investor protections on trading platform
INVESTING ALTERNATIVES JUL 13, 2020
Lawmakers press Robinhood about investor protections on trading platform

Letter from Capitol Hill says the firm ‘must do better’ in the wake of the suicide of a user

By Mark Schoeff Jr.
INmail: Severance pay can temporarily boost Medicare premiums
ADVISOR NEWS RETIREMENT PLANNING JUL 13, 2020
INmail: Severance pay can temporarily boost Medicare premiums

Will a wife lose all of her Social Security benefits due to increased Medicare premiums triggered by her husband’s severance package?

By Mary Beth Franklin
RBC recruits duo with $245 million
ADVISOR NEWS INDEPENDENT BROKER DEALERS JUL 13, 2020
RBC recruits duo with $245 million

The Albuquerque, New Mexico-based advisers are joining from Maplewood Investments

By InvestmentNews
New Hampshire investigating churning claims against Merrill brokers
ADVISOR NEWS WIREHOUSES JUL 13, 2020
New Hampshire investigating churning claims against Merrill brokers

Former governor says the firm, two former brokers were responsible for $50 million in losses

By InvestmentNews
‘Lost and found’ 401(k) bill is good for the advice industry
ADVISOR NEWS OPINION JUL 12, 2020
‘Lost and found’ 401(k) bill is good for the advice industry

While not exactly novel, the legislation is a sound first step toward getting Main Street investors the tools they need

By InvestmentNews
COVID-19 puts alternatives back in the mainstream
INVESTING ALTERNATIVES JUL 12, 2020
COVID-19 puts alternatives back in the mainstream

The new normal is reigniting conversations around the potential for alternative investments to add diversity and hedge risk

By Jeff Benjamin
The big juicy pork chop
ADVISOR NEWS INDEPENDENT BROKER DEALERS JUL 12, 2020
The big juicy pork chop

In the latest episode of the InvestmentNews Podcast, Jeff Benjamin and Bruce Kelly analyze LPL Financial’s latest effort to stay ahead of the recruiting curve

By InvestmentNews
Wawa settles ESOP lawsuit for $21.6 million
ADVISOR NEWS RETIREMENT PLANNING JUL 10, 2020
Wawa settles ESOP lawsuit for $21.6 million

The agreement is separate from a $25 million settlement reached in a similar suit brought in 2016

By Emile Hallez
Oklahoma pulls back Form CRS mandate for state-registered advisers
RIAS RIA NEWS JUL 10, 2020
Oklahoma pulls back Form CRS mandate for state-registered advisers

Rhode Island keeps its requirement on the books

By Mark Schoeff Jr.
ETF providers struggle to steer institutional investors away from lower-cost retail funds
INVESTING ETFS JUL 10, 2020
ETF providers struggle to steer institutional investors away from lower-cost retail funds

Large investors are giving up liquidity and tighter spreads for lower fees

By Jeff Benjamin
Former RIA execs to pay $200,000 for misleading clients
RIAS RIA NEWS JUL 10, 2020
Former RIA execs to pay $200,000 for misleading clients

Benjamin Alderson, the former CEO of deVere USA, also agrees to a permanent bar

By InvestmentNews
Working past 62 improves retirement security: Study
ADVISOR NEWS RETIREMENT PLANNING JUL 10, 2020
Working past 62 improves retirement security: Study

People who aren't prepared for retirement at age 62 aren't more likely than others to keep working, but those who do tend to benefit financially, a recent paper found

By Emile Hallez
A tale of two PPP loans
RIAS RIA NEWS JUL 09, 2020
A tale of two PPP loans

Small broker-dealers lined up for the free cash — but did all of them use it as intended?

By Bruce Kelly
Social distancing weighs on advice business: Survey
RIAS RIA NEWS JUL 09, 2020
Social distancing weighs on advice business: Survey

Prospecting is now more difficult, and advisers said they are less effective at selling products, a report from Limra and others shows

By Emile Hallez