RIA News

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RETIREMENT PLANNING NOV 14, 2011
Throwing it all away

For advisers to the super-rich, devising their clients' investment strategies is no longer enough. Increasingly, they must protect wealthy families from themselves. <br><a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&amp;Date=20111109&amp;Category=FREE&amp;ArtNo=110909910&amp;Ref=PH><b><i>IN Extra</b></i> 10 sketches every wealthy client should see &amp;raquo;</a>

By John Goff
Finra fines MSSB $1M for muni markups
RIA NEWS NOV 14, 2011
Finra fines MSSB $1M for muni markups

Brokerage also ordered to pay restitution to clients

By John Goff
MF Global customer shocked by crash of 'a firm that size'
RIA NEWS NOV 14, 2011
MF Global customer shocked by crash of 'a firm that size'

Client still has open positions with broke i-bank; swimming with the big fish

By Andrew Osterland
Heads still rolling at MSSB
RIA NEWS NOV 14, 2011
Heads still rolling at MSSB

Morgan Stanley in the third quarter continued to cut the number of financial advisers in its joint venture retail brokerage, Morgan Stanley Smith Barney.

By Andrew Osterland
RIA NEWS NOV 13, 2011
Observers mixed on forecast for charitable giving

Even as the U.S. economy slogs through a slow recovery, forcing many Americans to cut back on spending, there are signals that wealthy Americans won't be deterred from making fourth-quarter charitable donations

By Paul Rivas
RIA NEWS NOV 13, 2011
Hailed as safe 'little cash cows,' taxi medallions boost firm's shares

The surging price of New York's taxi medallions and their promise of steady cash flow have sparked investor interest in the licenses and bolstered shares of a company that finances their purchase to a four-year high

By Bloomberg
RIA NEWS NOV 13, 2011
Top SMAs: Rankings and overview

Nathan Behan, a senior investment analyst at Prima Capital Holdings, outlines some key recent and long-term trends in the markets in an economic report and analysis on the third quarter.

By Nathan Behan
EMERGING MARKETS NOV 13, 2011
An end to la dolce vita?

Italy's passage of belt-tightening measures Friday, coupled with its impending change of leadership, calmed immediate fears about Europe's debt crisis, but investors should brace for more eurozone turmoil in the weeks and months ahead

By Jeff Benjamin
WIREHOUSES NOV 13, 2011
Focus Financial adds Sapient in eighth acquisition this year

Sapient Private Wealth Management, a fee-based investment adviser in Eugene, Ore., last week joined Focus Financial Partners LLC, marking the eighth transaction completed by Focus this year

By Andrew Osterland
LIFE INSURANCE AND ANNUITIES NOV 13, 2011
Primerica plans to teach its team about annuities

As Primerica Inc. prepares to add a fixed indexed annuity to its platform for the first time, the company faces the tall task of prepping its 82,000 representatives on the complicated savings product

By Darla Mercado
RIA NEWS NOV 13, 2011
What do most RIAs really want? Growth

Along with the thousands of advisers under one roof here at the Schwab Impact conference in San Francisco, there are also thousands of opinions on issues ranging from economics to politics.

By Mark Bruno
RETIREMENT PLANNING NOV 13, 2011
Special report: The 2011 InvestmentNews/Moss Adams Staffing & Compensation Study

By Mark Bruno
RIA NEWS NOV 11, 2011
Pay to play

LPL has informed its reps that it will be raising several of their fees come Jan. 1. One of the bump-ups: a 40% hike in the so-called 'affiliation' fee. | <a href=http://www.investmentnews.com/article/20111110/CHART/111119993>What other B-Ds charge &amp;raquo</a>

By John Goff
RIA NEWS NOV 11, 2011
Causes of tech snafu with MSSB 3D platform remain uncertain

By Davis Janowski
MSSB down on Europe and Japan, high on munis, U.S. large caps
RIA NEWS NOV 11, 2011
MSSB down on Europe and Japan, high on munis, U.S. large caps

Global economy going through rough patch, but end in sight: 'cleansing, catharsis and purging'

By Evan Cooper
RIA NEWS NOV 11, 2011
Broker-hiring protocol seeing more dropouts

The brokerage industry's recruitment protocol, which is credited with reducing litigation when advisers change firms, might be becoming a victim of its own success

By Dan Jamieson
RETIREMENT PLANNING NOV 11, 2011
Saying 'I do' to prenup money advice

Before they march down the aisle, engaged couples rarely discuss who'll pay the electric bill or how much to save once the knot is tied. Maybe they should.

By Lavonne Kuykendall
Companies discover cash back the key to boosting stock price
RIA NEWS NOV 10, 2011
Companies discover cash back the key to boosting stock price

Dividends, buybacks attracting yield-hungry investors; bigger payouts coming in 2012

By John Goff
Dividend-centered fund on a run, up 5.5% this year
RIA NEWS NOV 10, 2011
Dividend-centered fund on a run, up 5.5% this year

Payden Value Leaders rejiggered, now zeroing in on large caps with hefty payouts; it's working, too

By Jeff Benjamin
Stressed BofA, Citi may have to rethink dividend plans
RETIREMENT PLANNING NOV 10, 2011
Stressed BofA, Citi may have to rethink dividend plans

Fed's tougher capital tests could throw a spanner into the works for buybacks as well

By John Goff