RIA News

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EQUITIES JUL 29, 2016
How Donald Trump and Hillary Clinton plan to gain access to your wallet

<i>Breakfast with Benjamin</i> Based on their own rhetoric, this is how Hillary Clinton and Donald Trump would impact your wallet, if they win the White House.

By Jeff Benjamin
Insurance broker NFP Corp. to sell its indie broker-dealer unit
INDEPENDENT BROKER DEALERS JUL 29, 2016
Insurance broker NFP Corp. to sell its indie broker-dealer unit

The firm is selling a majority stake of NFP Advisor Services to funds managed by private equity shop Stone Point Capital.

By Bruce Kelly
ALTERNATIVES JUL 28, 2016
Rob Arnott says cheesy copy cats are hurting smart beta investing

Plus: Gold is investing in monetary chaos, corporate bonds fly off the shelves, and more fuzzy employment math

By Jeff Benjamin
PRACTICE MANAGEMENT JUL 28, 2016
Philanthropic advisers and firms named as finalists for Community Leadership Awards

Invest in Others and <i>InvestmentNews</i> recognize charitable works of advisers and corporate programs for employees.

By Liz Skinner
UBS wealth management fees squeezed by global turmoil in second quarter
RIA NEWS JUL 28, 2016
UBS wealth management fees squeezed by global turmoil in second quarter

Operating income declined 1% on reduced client activity and lower mutual fund fees

By Christine Idzelis
RIA NEWS JUL 28, 2016
How smart are you when it comes to managing your money?

A new study shows more Americans are getting their financial acts together. But are they getting smarter or just a little wealthier thanks to a stronger economy?

By Bloomberg
Investing in the most hated bull market: When your clients say they can't stomach stocks
MUTUAL FUNDS JUL 28, 2016
Investing in the most hated bull market: When your clients say they can't stomach stocks

Financial advisers say it's crucial to get investors to stay focused on diversification, dividends and their long-term goals.

By John Waggoner
Raymond James nabs $7 billion retirement group from Wells Fargo
INDEPENDENT BROKER DEALERS JUL 28, 2016
Raymond James nabs $7 billion retirement group from Wells Fargo

The national advisory firm works with institutional clients such as defined-contribution and traditional pension plans.

By Greg Iacurci
FIXED INCOME JUL 28, 2016
Don't discount fixed-income assets

By Bob Michele
Vanguard changes management of three funds with combined assets of $24 billion
MUTUAL FUNDS JUL 28, 2016
Vanguard changes management of three funds with combined assets of $24 billion

By John Waggoner
LPL's earnings bounce back, but commission revenue continues to erode
REGULATION AND LEGISLATION JUL 28, 2016
LPL's earnings bounce back, but commission revenue continues to erode

First-quarter profit nearly double what the company posted in the previous quarter.

By Bruce Kelly
Adviser's Consultant: How to create a wealth transfer process for clients
RIA NEWS JUL 28, 2016
Adviser's Consultant: How to create a wealth transfer process for clients

Brent Brodeski of Savant Capital explains how his firm helps clients plan to pass on their money and values, and the upshot of doing so for advisers.

By Liz Skinner
Magnanimous advisers win ninth annual Community Leadership Awards
RIA NEWS JUL 28, 2016
Magnanimous advisers win ninth annual Community Leadership Awards

Invest in Others and <i>InvestmentNews</i> announce five financial advisers and one firm honored for making a difference with philanthropic giving and service.

By Liz Skinner
MUTUAL FUNDS JUL 27, 2016
Dan Ivascyn, Bill Gross' successor at Pimco, not as flamboyant as the old bond king, but he has produced results

He cuts a much lower profile and his comments about the market are filled with introspection.

By Lisa Abramowicz
RIA NEWS JUL 27, 2016
Strong M&A market for RIAs propels Focus Financial toward possible IPO

Registered investment advisory firms have been merging at swift pace after record-setting 2015

By Christine Idzelis
EMERGING MARKETS JUL 27, 2016
Oil prices rally as Brent crude climbs over $50

Oil has risen about 19% since closing below $40 a barrel and slipping into a bear market earlier this month.

By Bloomberg
INDEPENDENT BROKER DEALERS JUL 27, 2016
Securities America to pay $1.5 million for mutual fund overcharges

The independent broker-dealer is paying restitution for failing to waive sales charges for some retirement plans and charitable organizations, according to Finra.

By Greg Iacurci
WestPark Capital CEO says he's adding some brokers from Newport Coast Securities, which he said is closing
INDEPENDENT BROKER DEALERS JUL 27, 2016
WestPark Capital CEO says he's adding some brokers from Newport Coast Securities, which he said is closing

WestPark Capital CEO Richard Rappaport says Newport Coast Securities is closing and that he is being selective in who he hires from the broker-dealer.

By Bruce Kelly
Man Group's Emmanuel Roman named Pimco's new CEO
RIA NEWS JUL 27, 2016
Man Group's Emmanuel Roman named Pimco's new CEO

By Bloomberg
RIA NEWS JUL 27, 2016
National Holdings President Mark Goldwasser is leaving the firm

His departure follows agreement to be bought by Fortress Biotech.

By Christine Idzelis