RIA News

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REGULATION, LEGAL & COMPLIANCE AUG 28, 2017
Opponents of DOL fiduciary rule raise same concerns about CFP Board proposal

Financial Services Institute says extra supervision would result in a 'CFP tax,' while mother of Labor Department regulation cheers revisions to standards of conduct.

By Mark Schoeff Jr.
WIREHOUSES AUG 28, 2017
Merrill Lynch loses $600 million team to Texas RIA

The three-member adviser team expands the footprint of Syntal Capital Partners.

By InvestmentNews
RIA NEWS AUG 28, 2017
Economists predict long-term effects of Harvey will remain local

Forecasts of costly damage for the oil-producing region, but wider consequences unlikely.

By Bloomberg
RIA NEWS AUG 28, 2017
New charges against Dawn Bennett allege a $20 million scheme to defraud 46 investors

Ms. Bennett allegedly spent some of her ill-gotten gains on luxury goods, mystics and $500,000-a-year suite at AT&T Stadium in Dallas.

By InvestmentNews
RIA NEWS AUG 25, 2017
Killing estate tax could kill charitable giving

In 2010, when the estate tax was temporarily repealed, gross charitable bequests in IRS tax filings dropped 37 percent, and some fear it could happen again.

By Bloomberg
RETIREMENT PLANNING AUG 25, 2017
Investment consultants have poor record recommending funds

On average, their choices tended to return about 1.12 percentage points less than the ones they didn't recommend, according to a new study.

By Bloomberg
RIA NEWS AUG 25, 2017
For small B-Ds, becoming part of a branch office of a larger firm is a viable exit strategy

Such deals allow them to get out from under the cost of running a broker-dealer, but preserves their brand and culture.

By Bruce Kelly
REGULATION, LEGAL & COMPLIANCE AUG 25, 2017
DOL fiduciary rule: Trump administration signals intent to kill class-action provision in BICE

The class-action provision is one of the most reviled portions of the Labor Department's fiduciary rule.

By Greg Iacurci
RETIREMENT PLANNING AUG 24, 2017
This age group controls the most wealth in the U.S.

The wealthy have probably always been older than the general population.

By Bloomberg
RETIREMENT PLANNING AUG 24, 2017
What your credit score reveals about your love life

The higher the credit score, the likelier you are to form a romantic relationship.

By Bloomberg
INDEPENDENT BROKER DEALERS AUG 24, 2017
San Diego duo managing $156 million joins Ameriprise

By InvestmentNews
RIA NEWS AUG 24, 2017
Finra bars former AXA rep

Cleveland office fired him last year for possible market manipulation

By Bloomberg
REGULATION, LEGAL & COMPLIANCE AUG 24, 2017
Washington dysfunction looms over markets as September approaches

Squabbles over the budget, debt ceiling could roil your clients' investment portfolios.

By John Waggoner
LIFE INSURANCE AND ANNUITIES AUG 24, 2017
DOL fiduciary rule driving fundamental shift in variable annuity market

A dramatic shift in the market share of IRA-sold versus non-qualified variable annuities is starting to play out.

By Greg Iacurci
MUTUAL FUNDS AUG 24, 2017
Invesco said to mull ETF-only Guggenheim deal

Buying just the exchange-traded funds would add $36 billion in assets to its PowerShares family

By InvestmentNews
RETIREMENT PLANNING AUG 24, 2017
Retiree health care costs up 6%, new study finds

A newly retired couple would need $275,000 for medical care throughout retirement, according to Fidelity.

By Bloomberg
PRACTICE MANAGEMENT AUG 24, 2017
Understanding — and overcoming — your clients' behavioral biases

By Gillian Albert
RIA NEWS AUG 23, 2017
Bear funds prosper, but how do you use them?

By John Waggoner
RETIREMENT PLANNING AUG 23, 2017
Why most of your richest clients are also the oldest

One explanation is that they're staying much healthier than other Americans.

By Bloomberg
RIA NEWS AUG 23, 2017
Kiddie tax rules can catch both advisers and investors by surprise

The point of the kiddie tax is to avoid parents transferring income to their children and reducing their total tax cost.

By Tim Steffen