RIA News

Displaying 36715 results
EQUITIES DEC 16, 2014
Stocks' momentum to last through year end, top forecasters say

Falling oil prices, accelerating economic growth to provide fuel for further gains.

By Bloomberg
LIFE INSURANCE AND ANNUITIES DEC 16, 2014
Jackson National's variable annuity sales suspensions pay off

Advisers willing to wait to get into the carrier's VAs and if history is any guide, first quarter sales will jump.

By Darla Mercado
ALTERNATIVES DEC 16, 2014
Schorsch REIT suspension still in place at major broker-dealers

Berthel Fisher among firms that have lifted suspension, but others housing 29,000 advisers confirm they haven't.

By Bruce Kelly
LIFE INSURANCE AND ANNUITIES DEC 16, 2014
Insurance agent bill inches closer to the finish line

Senate OKs legislation to make it easier for insurance agents to become licensed to sell insurance in multiple states.

By Darla Mercado
RIA NEWS DEC 15, 2014
United Capital pivots with $2 billion hire

Firm now focused on hiring advisers from larger companies, even wirehouses, as it shifts away from acquisitions.

By Mason Braswell
RETIREMENT PLANNING DEC 15, 2014
New congressional plan calls for wealth redistribution

Proposal would hike investment taxes — and impose a transaction fee — but cut taxes for households under $200,000 income.

By Mark Schoeff Jr.
Ask an Advisor: Trusts for an entrepreneur's family
RETIREMENT PLANNING DEC 15, 2014
Ask an Advisor: Trusts for an entrepreneur's family

The case study of a family with complicated needs in the wake of a big sale

By Ben Leshem
ALTERNATIVES DEC 15, 2014
An alternative oil investment that hinges on infrastructure needs

Nontraded energy BDC provides funds for exploration and drilling.

By Bruce Kelly
RIA NEWS DEC 15, 2014
United Capital acquires $320 million AUM adviser

California-based Valley Wealth is firm's third – and largest – acquisition this year.

By Mason Braswell
ETFS DEC 15, 2014
Goldman Sachs explores liquid alternatives in the ETF world

Can Goldman Sachs put ETF investors on a liquid diet?

By Bloomberg
RETIREMENT PLANNING DEC 15, 2014
Is the 401(k) tax break in danger?

A group of big companies release an economic study aimed at preserving tax incentives, which may be on the table during budget negotiations on Capitol Hill.

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS DEC 15, 2014
Broker to the stars, Bambi Holzer, barred from securities industry

Finra accused Bambi Holzer of lying to one of her former broker-dealers in sales of Provident Royalties deals. Now she's barred from the securities industry. Bruce Kelly has the story.

By Bruce Kelly
REGULATION AND LEGISLATION DEC 15, 2014
Ex-Wedbush broker wins $4.2M from firm

By Bruce Kelly
RIA NEWS DEC 14, 2014
Mariah Acap's test of time management

Youn adviser's first year in the advisory business has cemented her resolve to become a full-fledged financial adviser, even if some things are taking more time than she expected.

By Liz Skinner
RIA NEWS DEC 14, 2014
Taxes can be 'lots of fun' for young adviser Treavor Dodsworth

About eight months into his tenure at NorthWest Financial Services Inc., adviser's been putting his tax know-how to work.

By Darla Mercado
RIA NEWS DEC 14, 2014
Latest twist in robo-advice: Actively managed funds

Untested approach compared to adding cyanide to cupcakes

By Jeff Benjamin
RIA NEWS DEC 14, 2014
Are you in for a big capital gain tax hit?

Six years into the bull market, losses booked from the financial crisis have all been used up. Owners of actively managed funds may see some damage.

By Bloomberg
RIA NEWS DEC 14, 2014
RIAs to control 28% of assets by 2018: Cerulli

Dual registrants are a key driver of growth for the segment, which holds 20% of assets today, the research firm said.

By Bianca Flowers
RIA NEWS DEC 14, 2014
Some year-end tax strategies to consider

By Robert N. Gordon
RIA NEWS DEC 14, 2014
Saving for retirement likely to be harder for small-business owners under tax reform

Take steps to accelerate retirement plan contributions before the enactment of new limits, taxes and rules.

By E. Thomas Foster Jr.