RIA News

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RIAS RIA NEWS SEP 20, 2017
Fed's two-day meeting to conclude with decision on interest-rate hike

What to watch for in this afternoon's press conference by Chairwoman Janet Yellen.

By Bloomberg
RIAS RIA NEWS SEP 20, 2017
Former rep barred after double-dipping on credit card

Marc Ravenscroft kept reimbursement after receiving charge reversal.

By InvestmentNews
RIAS RIA NEWS SEP 20, 2017
CAPTRUST acquires Davidson & Garrard, a $700 million RIA

Lynchburg, Va.-based advisory firm has 13 employees.

By InvestmentNews
RIAS RIA NEWS SEP 20, 2017
Why operations teams are the unsung heroes behind breakaways

It's operations that ensures the success of an advisory team's transition to the RIA channel.

By Anna Maria Garcia
RIAS RIA NEWS SEP 20, 2017
Ron Carson rebrands his $8.5B firm

Peak Advisor Alliance becomes Carson Group Coaching.

By Jeff Benjamin
INVESTING FIXED INCOME SEP 20, 2017
Fed to start shrinking portfolio in October

Policymakers signal one more rate hike this year, saying storms should have only a temporary impact on the economy.

By Bloomberg
RIAS RIA NEWS SEP 20, 2017
Global economy strong, but investment outlook not so much: Vanguard

Mutual fund giant tells investors to brace for decade of 'muted returns.'

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING SEP 19, 2017
How plan advisers can ease stress about retirement readiness

Smart plan advisers use an active, personalized approach to engage employees.

By Edward Dressel
RIAS RIA NEWS SEP 19, 2017
Let's get real about dividend stocks

Like many good stories, the narrative is better than the reality.

By Michael Finke
RIAS RIA NEWS SEP 19, 2017
SEC bars rep sentenced for securities fraud

Gerald Cocuzzo involved in $131 million market manipulation scheme.

By InvestmentNews
RIAS RIA NEWS SEP 19, 2017
Adviser files motion to dismiss claim he was involved in fake news about murdered DNC staffer

Complaint alleges Ed Butowsky and Fox News 'worked in concert under the watchful eye of the White House' to concoct phony story to divert attention from Russian hacking in 2016 presidential campaign.

By Bruce Kelly
RIAS RIA NEWS SEP 19, 2017
Managed futures funds have fared poorly, but could shine in a market downturn

The funds can bet on rising or falling prices, and have a low correlation with stocks or bonds.

By John Waggoner
RIAS RIA NEWS SEP 19, 2017
Path to Growth: Why RIA firms leverage M&A as a growth strategy

By Christopher V. Gunderson
RIAS RIA NEWS SEP 18, 2017
SEC bars former rep for alleged share price manipulation

George Thoreson tried to keep penny stock's price high to enable Nasdaq listing.

By InvestmentNews
RIAS RIA NEWS SEP 18, 2017
Finra bars former First Allied broker with history of social media miscues

John Kai had been fired earlier this year for violations of communications policies, outside business activities and borrowing funds from a client, to name a few.

By Bruce Kelly
ADVISOR NEWS REGULATION AND LEGISLATION SEP 18, 2017
Nevada fiduciary law raises concerns among retirement professionals, brokerage industry

Critics complain that it conflicts with ERISA and SEC rules and has potential to spur other states to pass their own version of a fiduciary rule.

By Bloomberg
RIAS RIA NEWS SEP 18, 2017
Morgan Stanley, Wells Fargo lose reps to Baird

Brokers in Chicago and Nashville collectively managed $325 million.

By InvestmentNews
RIAS RIA NEWS SEP 18, 2017
Impax Asset Management to acquire Pax World

Move will create global sustainable investing firm managing $13.9 billion

By InvestmentNews
ADVISOR NEWS RETIREMENT PLANNING SEP 15, 2017
American workers vs. investors: Who pays more taxes?

Politicians have intentionally set tax rates on wages much higher than those on long-term investment returns.

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING SEP 15, 2017
Social Security COLA could get wiped out by Medicare costs

But higher-income retirees' health insurance costs might remain the same.

By Mary Beth Franklin