RIA News

Displaying 36702 results
UBS Wealth picks ex-NFL player to lead athlete segment
RIAS PRACTICE MANAGEMENT NOV 18, 2020
UBS Wealth picks ex-NFL player to lead athlete segment

Adewale Ogunleye is a former Pro Bowl defensive end with the Chicago Bears

Vanguard, Fidelity fall short in ESG fund ratings
RIAS RIA NEWS NOV 18, 2020
Vanguard, Fidelity fall short in ESG fund ratings

Morningstar gave both asset managers low scores on incorporating ESG factors into investment decisions

By Bloomberg
Fixed-rate deferred annuity sales rebound in Q3
INVESTING LIFE INSURANCE AND ANNUITIES NOV 17, 2020
Fixed-rate deferred annuity sales rebound in Q3

But total annuity sales year-to-date are off 13% from 2019

By InvestmentNews
Morningstar integrates ESG factors into its overall analysis
RIAS RIA NEWS NOV 17, 2020
Morningstar integrates ESG factors into its overall analysis

The company will use environmental, social and governance risk ratings as part of a new commitment-level evaluation

By InvestmentNews
Clayton’s Capitol Hill coda: Democratic blasts, Republican praise
ADVISOR NEWS REGULATION AND LEGISLATION NOV 17, 2020
Clayton’s Capitol Hill coda: Democratic blasts, Republican praise

SEC chairman defends 12b-1 fee crackdown against GOP criticism

By Mark Schoeff Jr.
401(k) firms line up for PEPs, anticipating big business in 2021
ADVISOR NEWS RETIREMENT PLANNING NOV 17, 2020
401(k) firms line up for PEPs, anticipating big business in 2021

Registration for pooled plan providers begins later this month, but some companies are already announcing their plans

By Emile Hallez
DFA plans $20 billion dive into ETF market
INVESTING MUTUAL FUNDS NOV 17, 2020
DFA plans $20 billion dive into ETF market

In addition to three new ETFs, Dimensional Fund Advisors will convert six mutual funds

By Jeff Benjamin
Should 401(k)s require a test for savers to invest outside of target dates?
ADVISOR NEWS RETIREMENT PLANNING NOV 17, 2020
Should 401(k)s require a test for savers to invest outside of target dates?

Terms like 'mutual fund' and 'passive investing' are misunderstood, and those who can't define them are less likely to invest and save for retirement, according to a new report

By Emile Hallez
InvestmentNews to host 2nd annual ESG Summit & Film Festival with the UN Office of Partnerships
RIAS RIA NEWS NOV 17, 2020
InvestmentNews to host 2nd annual ESG Summit & Film Festival with the UN Office of Partnerships

The virtual event is designed for individual advisers, RIAs and financial professionals looking for strategies behind integrating ESG

By InvestmentNews
Trio managing $417 million heads to Raymond James
ADVISOR NEWS INDEPENDENT BROKER DEALERS NOV 17, 2020
Trio managing $417 million heads to Raymond James

The team moved from Geneos Wealth Management

By InvestmentNews
7 reasons donor-advised funds can be a good place for impact investing
ADVISOR NEWS OPINION NOV 17, 2020
7 reasons donor-advised funds can be a good place for impact investing

DAFs can help investors surmount various barriers that discourage them from getting started with investments seeking social and environmental returns

By Adam Rein
Jay Clayton’s legacy at the SEC: productive or partisan?
ADVISOR NEWS REGULATION AND LEGISLATION NOV 16, 2020
Jay Clayton’s legacy at the SEC: productive or partisan?

As he heads for the door, the SEC chairman presided over a record 65 final rulemakings at the agency

By Mark Schoeff Jr.
INmail: Unusual rules regarding survivors benefits
ADVISOR NEWS RETIREMENT PLANNING NOV 16, 2020
INmail: Unusual rules regarding survivors benefits

Full retirement age for survivor benefits may be different than for retirement benefits depending on the birth year.

By Mary Beth Franklin
Green wave drives ESG assets over $17 trillion
RIAS RIA NEWS NOV 16, 2020
Green wave drives ESG assets over $17 trillion

A new report shows ESG assets now make up a third of all managed money, according to The Forum for Sustainable and Responsible Investment

By Jeff Benjamin
Reflections on a year of change
RIAS PRACTICE MANAGEMENT NOV 16, 2020
Reflections on a year of change

The tremendous changes over the past year represent the shifting sands of the industry, as well as a great deal of accomplishments from the IN team

By George Moriarty
Free financial planning apps enter the equation
ADVISOR NEWS FINTECH NOV 16, 2020
Free financial planning apps enter the equation

The tools provided by big players like Fidelity and Schwab are a plus for investors just starting out, but what do they mean for smaller advisory firms?

By Nicole Casperson
Merrill adds more choices to its model portfolio offering
ADVISOR NEWS WIREHOUSES NOV 13, 2020
Merrill adds more choices to its model portfolio offering

Additions include sustainable, hybrid and high-net-worth options from several managers

By InvestmentNews
Biden financial transition team  cheers investor advocates
ADVISOR NEWS REGULATION AND LEGISLATION NOV 13, 2020
Biden financial transition team cheers investor advocates

But how a Democratic-led SEC interprets and enforces Reg BI depends on its chair

By Mark Schoeff Jr.
Hub International snaps up almost $3 billion in assets
ADVISOR NEWS RETIREMENT PLANNING NOV 13, 2020
Hub International snaps up almost $3 billion in assets

With the latest deals, the firm's retirement plan and private wealth business oversees about $93 billion

By Emile Hallez
‘Embrace planning, it's a better business model’: Fidelity's Mike Durbin
ADVISOR NEWS FINTECH NOV 13, 2020
‘Embrace planning, it's a better business model’: Fidelity's Mike Durbin

The president of Fidelity Institutional shares his views on the changing terrain for financial advisory firms and a key trend that advisers should keep an eye on

By Nicole Casperson