RIA News

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Volatility expected to rise in 2020, say ultrahigh-net-worth investors
RIA NEWS NOV 01, 2019
Volatility expected to rise in 2020, say ultrahigh-net-worth investors

Nationwide study finds one-quarter of wealthy investors don't use an adviser.

By InvestmentNews
North Carolina-based firm acquires $600M RIA founded by Arthur Laffer
RIA NEWS NOV 01, 2019
North Carolina-based firm acquires $600M RIA founded by Arthur Laffer

Mr. Laffer was the creator of the Laffer Curve, which was popularized in the 1970s

By Bloomberg
Advisor Group, Cetera Financial seen as potential buyers of Ladenburg Thalmann
RIA NEWS NOV 01, 2019
Advisor Group, Cetera Financial seen as potential buyers of Ladenburg Thalmann

Ladenburg should command a price of at least $1 billion, based on its enterprise value.

By Bruce Kelly
National auto-IRA program would boost U.S. retirement savings
RIA NEWS NOV 01, 2019
National auto-IRA program would boost U.S. retirement savings

The retirement savings deficit would fall by $456 billion, according to new research.

By Greg Iacurci
States considering rules for how advisers charge subscription fees
RIA NEWS NOV 01, 2019
States considering rules for how advisers charge subscription fees

Guidance from NASAA likely to warn advisers not to charge monthly fee for advice alone.

By Mark Schoeff Jr.
UBS looking to deploy fintech to reach mass affluent
RIA NEWS OCT 31, 2019
UBS looking to deploy fintech to reach mass affluent

Firm isn't alone in its quest to move down market through technology.

By Ryan W. Neal
Nationwide gives wholesalers the heave-ho
RIA NEWS OCT 31, 2019
Nationwide gives wholesalers the heave-ho

The $65 billion asset management firm is bypassing financial advisers to focus on outsourced model portfolio platforms.

By Jeff Benjamin
Florida's Broward Health pulls $93 million from Ken Fisher
RIA NEWS OCT 31, 2019
Florida's Broward Health pulls $93 million from Ken Fisher

Broward's board to seek new partner for its pension and investment assets.

By Bloomberg
UBS broker duo managing $1.4 billion at UBS sets up RIA business
RIA NEWS OCT 31, 2019
UBS broker duo managing $1.4 billion at UBS sets up RIA business

Terry Cook, Kyle Caouette and 11-person team form Parcion Private Wealth in Seattle area

By InvestmentNews
Finra slaps $20,000 fine on former JMP Securities analyst
RIA NEWS OCT 31, 2019
Finra slaps $20,000 fine on former JMP Securities analyst

Michael King Jr. wrote research reports on the company offering him a job.

By InvestmentNews
Fidelity to launch program for 401(k) participants to draw down accounts
RIA NEWS OCT 31, 2019
Fidelity to launch program for 401(k) participants to draw down accounts

Rollout comes as retirement income has emerged as a primary challenge in the 401k) market.

By Greg Iacurci
Hybrid firm managing $1 billion switches to Commonwealth from Securian
RIA NEWS OCT 31, 2019
Hybrid firm managing $1 billion switches to Commonwealth from Securian

Pennsylvania-based Legacy Planning Partners has four partners and 30 advisers and staff

By InvestmentNews
Navigating the RIA ecosystem
OPINION OCT 31, 2019
Navigating the RIA ecosystem

Firms that maintain open architecture and touch points will endure and grow.

By David Canter
Is this the moment when financial planning becomes a profession?
RIA NEWS OCT 31, 2019
Is this the moment when financial planning becomes a profession?

A membership organization for certified financial planners could help make it happen.

By Michael Ross
RIA NEWS OCT 31, 2019
UBS broker duo managing $1.4 billion at UBS sets up RIA business

Terry Cook, Kyle Caouette and 11-person team form Parcion Private Wealth in Seattle area

By InvestmentNews
RIA NEWS OCT 31, 2019
Nationwide gives wholesalers the heave-ho

The $65 billion asset management firm is bypassing financial advisers to focus on outsourced model portfolio platforms.

By Jeff Benjamin
RIA NEWS OCT 31, 2019
UBS looking to deploy fintech to reach mass affluent

Firm isn't alone in its quest to move down market through technology.

By Ryan W. Neal
RIA NEWS OCT 31, 2019
Hybrid firm managing $1 billion switches to Commonwealth from Securian

Pennsylvania-based Legacy Planning Partners has four partners and 30 advisers and staff

By InvestmentNews
RIA NEWS OCT 31, 2019
Fidelity to launch program for 401(k) participants to draw down accounts

Rollout comes as retirement income has emerged as a primary challenge in the 401k) market.

By Greg Iacurci
RIA NEWS OCT 31, 2019
Finra slaps $20,000 fine on former JMP Securities analyst

Michael King Jr. wrote research reports on the company offering him a job.

By InvestmentNews