RIA News

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Finra arbitrators order UBS to pay female brokers $171,445
ADVISOR NEWS WIREHOUSES DEC 03, 2019
Finra arbitrators order UBS to pay female brokers $171,445

UBS considers low damages award an 'overwhelming rejection' of their claims.

By Mark Schoeff Jr.
RIAS RIA NEWS DEC 03, 2019
What's the value of an inorganic growth strategy

By InvestmentNews Create
Team managing $550 million at Northwestern Mutual goes indie with LPL
RIAS RIA NEWS DEC 02, 2019
Team managing $550 million at Northwestern Mutual goes indie with LPL

Thirteen-member Gatewood Wealth Solutions is based in St. Louis.

By InvestmentNews
UBS joins Credit Suisse in focus on lowest ranks of wealthy
RIAS RIA NEWS DEC 02, 2019
UBS joins Credit Suisse in focus on lowest ranks of wealthy

Clients in Switzerland with between $500,000 and $5 million in assets will fall under a new coverage model that uses more tech, fewer human interactions, according to a memo

By Bloomberg
LPL improves ClientWorks to chop five minutes from account opening process
RIAS RIA NEWS DEC 02, 2019
LPL improves ClientWorks to chop five minutes from account opening process

New tool is the start of a series of technology enhancements aimed at saving advisers time.

By Ryan W. Neal
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule
ADVISOR NEWS REGULATION AND LEGISLATION DEC 02, 2019
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule

Bay State, New Jersey regulations could set standard for other states

By Mark Schoeff Jr.
Volatility futures may be subdued because of all the volatility ETPs
RIAS RIA NEWS DEC 02, 2019
Volatility futures may be subdued because of all the volatility ETPs

Cboe Volatility Index futures have been quiet recently as U.S. stocks reached new highs.

By Bloomberg
Wall Street's top S&P 500 bull is less upbeat about 2020
RIAS RIA NEWS DEC 02, 2019
Wall Street's top S&P 500 bull is less upbeat about 2020

Deutsche Bank's chief global strategist sees the benchmark ending 2020 at the same level he's predicting for the end of this year.

By Bloomberg
RIAS RIA NEWS DEC 01, 2019
The evolution of the family office

By InvestmentNews Create
RIAS RIA NEWS DEC 01, 2019
Sheryl Garrett changed an industry when she set out to serve clients by the hour

By InvestmentNews
Treading a fine line with clients when politics comes up
RIAS RIA NEWS NOV 30, 2019
Treading a fine line with clients when politics comes up

Advisers try to stay neutral and focus on portfolios, but it's not always possible in highly charged times.

By Mark Schoeff Jr.
Muni market's new way around Trump ban
RIAS RIA NEWS NOV 27, 2019
Muni market's new way around Trump ban

States and cities are using maneuver to get around provision to 2017 tax-cut law.

By Bloomberg
Robinhood withdraws its application to become a bank
RIAS RIA NEWS NOV 27, 2019
Robinhood withdraws its application to become a bank

Startup was in regulators' cross-hairs after its failed launch of a checking and savings product late last year.

By Bloomberg
Small caps may turn mighty, strategists say
RIAS RIA NEWS NOV 27, 2019
Small caps may turn mighty, strategists say

Improving economic data and bullish technical signals could give a boost to shares.

By Bloomberg
GPB announces another delay in release of audited financials
RIAS RIA NEWS NOV 27, 2019
GPB announces another delay in release of audited financials

As investigations and lawsuits mount, the company accused of operating a Ponzi scheme says its external auditors have suspended work and its internal audit committee was planning to resign.

By Jeff Benjamin
Watch out for the New Year IRA rollover tax trap
RIAS RIA NEWS NOV 26, 2019
Watch out for the New Year IRA rollover tax trap

Sixty days before year-end is the rollover danger zone!

By Bloomberg
Ameriprise hybrid managing $350 million moves to LPL
RIAS RIA NEWS NOV 26, 2019
Ameriprise hybrid managing $350 million moves to LPL

Seven-adviser team at Canal View Financial Advisors is based in Pittsford, N.Y.

By Bloomberg
Fed's Powell says U.S. economy's glass is 'more than half full'
RIAS RIA NEWS NOV 26, 2019
Fed's Powell says U.S. economy's glass is 'more than half full'

Fed chairman signals that interest rates will probably remain on hold.

By Bloomberg
2020 elections could help socially responsible investments soar
RIAS RIA NEWS NOV 26, 2019
2020 elections could help socially responsible investments soar

Erika Karp describes some challenges of ESG analysis and integration

By Liz Skinner
Pete Buttigieg proposes a 'public' 401(k) program
RIAS RIA NEWS NOV 26, 2019
Pete Buttigieg proposes a 'public' 401(k) program

The proposal is similar to others seeking to improve access to workplace retirement plans but would require an employer match.

By Greg Iacurci