RIA News

Displaying 36697 results
PRACTICE MANAGEMENT FEB 07, 2017
Trouble keeping Next Gen advisers motivated? It may be normal

Study finds worker happiness declines, stress increases after first-year honeymoon

By InvestmentNews
Washington RIA found guilty of ripping off Mike Tyson
RIA NEWS FEB 07, 2017
Washington RIA found guilty of ripping off Mike Tyson

Brian Ourand admitted taking $250,000 from the former heavyweight champion and $500,000 from former NBA star Glen Rice and at least two other pro athletes.

By InvestmentNews
PRACTICE MANAGEMENT FEB 07, 2017
3 non-traditional methods for acquiring a financial advisory practice or book of business

Buyers may find that the path to acquiring the scale they want is much more achievable than they thought.

By David Grau Sr.
MUTUAL FUNDS FEB 07, 2017
How do you deploy cash in this market?

Putting fresh money to work in today's market can be particularly worrisome, with the S&P 500 currently selling for 21 times its past 12 months' earnings.

By John Waggoner
REGULATION AND LEGISLATION FEB 07, 2017
Fidelity survey finds advisers still focusing on DOL rule implementation

Almost half of advisers haven't slowed their compliance plans despite talk of delays

By InvestmentNews
REGULATION AND LEGISLATION FEB 07, 2017
Senator Elizabeth Warren tells acting DOL secretary, 'Financial firms back fiduciary rule'

Twenty-one firms have responded to a Jan. 19 letter challenging them to resist the Trump administration's efforts to stop the regulation, Ms. Warren told Acting Labor Secretary Edward Hugler.

By Mark Schoeff Jr.
FINTECH FEB 07, 2017
Most advisers' cybersecurity training insufficient

Firms would be better off with shorter, more frequent sessions for employeees

By Liz Skinner
RETIREMENT PLANNING FEB 07, 2017
Trump executive order may prevent guidance on employee benefits issues

An order aimed at reducing regulation and controlling regulatory costs could sow confusion over issues such as executive compensation and the fate of planned rules affecting employer retirement plans.

By Marcia S. Wagner
PRACTICE MANAGEMENT FEB 07, 2017
How to pick the right active manager

It's important to know how to evaluate fund strategies to determine whether managers embody skill, conviction, opportunity and patience.

By Steve Graziano
Former Wells Fargo Advisors rep barred by Finra for excessive trading in elderly client's account
WIREHOUSES FEB 06, 2017
Former Wells Fargo Advisors rep barred by Finra for excessive trading in elderly client's account

The level of trading was unsuitable for the client given her age, risk tolerance and income needs, according to the regulator.

By Bruce Kelly
RETIREMENT PLANNING FEB 06, 2017
Investors mix target-date funds and other investments to pursue specific strategies

Defined contribution plan participants who mix strategies “seem to be conducting reasonable investment practices,” according to new research from Vanguard.

By Robert Steyer
RIA NEWS FEB 06, 2017
Nearly 60% of Americans don't have wills

Most Republicans have one, but just 38% of Democrats do; two-thirds of parents with young kids are intestate

By InvestmentNews
RIA NEWS FEB 06, 2017
IRS wants $700 million from Michael Jackson estate

Says his name and likeness were undervalued at death; "What about Marilyn?" his attorneys ask

By Bloomberg
FINTECH FEB 06, 2017
Fiserv to offer robo to its adviser, bank clients

Fintech firm will make the Marstone digital-advice platform available to the 13,000 financial institutions it works with.

By Liz Skinner
RETIREMENT PLANNING FEB 06, 2017
Two ways to boost Social Security benefits

Working longer and postponing benefits can increase future payments.

By Mary Beth Franklin
REGULATION AND LEGISLATION FEB 06, 2017
What's next for the DOL fiduciary rule

President Trump's initial draft memo, later revised, may have spelled out the administration's coming plans: to delay the rule for six months and seek a stay in the legal proceedings.

By Mark Schoeff Jr.
LIFE INSURANCE AND ANNUITIES FEB 06, 2017
Dodd-Frank repeal could lead to big changes for indexed annuities

Scrapping or revising the law could lead to the disappearance of the Harkin Amendment, which would pave the way to indexed annuities being classified as securities rather than insurance products.

By Greg Iacurci
Trump to order halt of fiduciary rule, review of Dodd-Frank
REGULATION AND LEGISLATION FEB 06, 2017
Trump to order halt of fiduciary rule, review of Dodd-Frank

Delaying implementation of the Labor Department rule is the first step Republicans and the finance industry are eyeing as part of a broader overhaul of the measure.

By Bloomberg
3 ways to protect your 401(k) if Trump nixes the fiduciary rule
RETIREMENT PLANNING FEB 06, 2017
3 ways to protect your 401(k) if Trump nixes the fiduciary rule

By asking these questions, investors can avoid financial advisers who don't put their interests first.

By Bloomberg
Despite new review of DOL fiduciary rule, firms are sticking with higher standard of care
REGULATION AND LEGISLATION FEB 05, 2017
Despite new review of DOL fiduciary rule, firms are sticking with higher standard of care

Many broker-dealers &amp;mdash; including Merrill Lynch, Morgan Stanley and Wells Fargo &amp;mdash; are preparing for the changes in operations the rule would have created. <b>Plus: <a href="//www.investmentnews.com/section/video?playerType=INTV&amp;bctid=5309561439001&amp;date=20170203&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Advisers react to Trump's DOL rule decision</a></b>

By Bruce Kelly