RIA News

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REGULATION AND LEGISLATION APR 24, 2017
Experts say DOL fiduciary rule's fate, timing uncertain, changes likely

However long it takes to play out, panelists at <i>InvestmentNews</i>' Retirement Income Summit doubted the regulation will remain in place in its current version.

By Greg Iacurci
Ameriprise buying bank broker-dealer, adding 200 registered representatives
INDEPENDENT BROKER DEALERS APR 24, 2017
Ameriprise buying bank broker-dealer, adding 200 registered representatives

The deal marks Ameriprise's first foray into the bank channel.

By Bruce Kelly
LIFE INSURANCE AND ANNUITIES APR 24, 2017
Some broker-dealers changing indexed-annuity compensation due to DOL fiduciary rule

Some firms that currently allow advisers to report indexed-annuity sales as outside business are considering bringing it in-house to better monitor their brokers, control risk and potentially take a cut.

By Greg Iacurci
RETIREMENT PLANNING APR 24, 2017
Nuveen adds direct real estate to target-date funds

Company is leveraging the expertise of TIAA-CREF to reduce portfolio volatility.

By Jeff Benjamin
FINTECH APR 24, 2017
8 tips for keeping your passwords safe on social media, the web and in apps

First you log into your favorite social media platforms, then you give careful thought to what you want to share. But how much thought do you give when you are logging in, specifically, when you're typing in your passwords?

By Scott Kleinberg
Avoid these common RMD mistakes
RETIREMENT PLANNING APR 24, 2017
Avoid these common RMD mistakes

Forgetting to take the minimum required distribution is one of several RMD mistakes any client can make. Here’s how financial advisors can help

By Ramon Berenguer
RIA NEWS APR 24, 2017
UBS, Merrill Lynch advisers form $500 million RIA team

Four breakaways in Colorado Springs sign on with HighTower.

By InvestmentNews
RIA NEWS APR 24, 2017
Charles Schwab executive Jeffrey Kleintop debunks idea of 'Trump rally,' attributes market climb to fundamentals

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS APR 23, 2017
Top independent broker-dealers by revenue and payout

A look at how the top firms fared in 2016.

By IN Research and Ellie Zhu
INDEPENDENT BROKER DEALERS APR 22, 2017
Independent broker-dealers hit a wall

The top 25 firms collectively reported a decline in revenue for the first time since the 2008 credit crisis, according to InvestmentNews' annual survey

By Bruce Kelly
INDEPENDENT BROKER DEALERS APR 22, 2017
Independent broker-dealer revenue on the decline

Firms participating in Investment News' annual IBD survey posted their first average year-over-year drop in revenue since the 2008 credit crisis

By Ellie Zhu
PRACTICE MANAGEMENT APR 21, 2017
Financial counseling adds new area of expertise to financial advice industry

RIAs are embracing the 'softer side' of financial planning.

By Jeff Benjamin
RETIREMENT PLANNING APR 21, 2017
Retirees embrace the gig economy

For some, freelance work replaces pensions in traditional retirement three-legged stool.

By Mary Beth Franklin
RIA NEWS APR 21, 2017
A look inside the spending habits of the 1%

In &quot;Generation Wealth,&quot; the accumulation of wealth comes off more as a destructive addiction than a path to self-improvement.

By Bloomberg
RETIREMENT PLANNING APR 21, 2017
Retirees embrace the gig economy

For some, freelance work replaces pensions in traditional retirement three-legged stool.

By Mary Beth Franklin
RIA NEWS APR 21, 2017
Former RIA gets year probation for obstructing SEC investigation into referral fee

By Bloomberg
RIA NEWS APR 21, 2017
TD Ameritrade and Fidelity tweak RIA referral fees ahead of DOL fiduciary rule

TD is dropping its fees, while Fidelity is giving is RIAs fewer options on how to pay for referrals.

By Jeff Benjamin
REGULATION AND LEGISLATION APR 21, 2017
Piwowar says it's time for SEC to 'reassert its role' on investment advice standards

As DOL fiduciary rule stalls, Michael Piwowar seeks to have SEC step in.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 20, 2017
In K-12 403(b) plans, employees and their unions can be their own worst enemy

Distrust between school districts and unions, as well as potential financial incentives, factor into lack of reform.

By Greg Iacurci
RETIREMENT PLANNING APR 20, 2017
The future of tax preparation? Getting your taxes done without answering a single question

A TurboTax executive discusses why Americans procrastinated this tax season and the future of tax preparation.

By Bloomberg