RIA News

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Tough sledding for equity funds in COVID-19's wake: Cerulli
EQUITIES AUG 06, 2020
Tough sledding for equity funds in COVID-19's wake: Cerulli

The forecast has stock funds losing share to bonds and money market funds over the next five years

By Jeff Benjamin
Advisers, please stop calling everything AI
OPINION AUG 06, 2020
Advisers, please stop calling everything AI

The hype sometimes overshadows the actual returns on investment the technology is creating for financial advisers

By Sean Allocca
Duo managing $200 million at Northwestern Mutual go indie with LPL
INDEPENDENT BROKER DEALERS AUG 06, 2020
Duo managing $200 million at Northwestern Mutual go indie with LPL

Scott Dudley and David McQuade form Stirling Financial Group in San Diego

By InvestmentNews
Apex Clearing names Tricia Rothschild president
PRACTICE MANAGEMENT AUG 06, 2020
Apex Clearing names Tricia Rothschild president

Rothschild spent 26 years at Morningstar, where her final position was chief product officer

By InvestmentNews
Retirement worries keep rising: Reports
RETIREMENT PLANNING AUG 05, 2020
Retirement worries keep rising: Reports

There will be long-term financial fallout for some workers, and plan sponsors and advisers should be talking with them

By Emile Hallez
LPL to pay top dollar for employee reps and advisers
INDEPENDENT BROKER DEALERS AUG 05, 2020
LPL to pay top dollar for employee reps and advisers

The independent broker-dealer's new employee offer has a payout for the million dollar adviser of 60%

By Bruce Kelly
Canadian buyer gobbles up $4.5 billion RIA, Balasa Dinverno Foltz
RIA NEWS AUG 05, 2020
Canadian buyer gobbles up $4.5 billion RIA, Balasa Dinverno Foltz

CI Financial marks its fifth U.S. deal since February, and it's just getting started

By Jeff Benjamin
Secure Act’s pooled employer plans a dramatic change for 401(k)s
RETIREMENT PLANNING AUG 05, 2020
Secure Act’s pooled employer plans a dramatic change for 401(k)s

The COVID-19 crisis will make some employers more open to PEPs, but the recent hit to the economy could mean slow uptake for those plans

By Fred Barstein
Mercer acquires $130 million RIA
RIA NEWS AUG 05, 2020
Mercer acquires $130 million RIA

Summit Wealth Advisors is based in Frisco, Colorado

By InvestmentNews
The role of cash in a portfolio
OPINION AUG 04, 2020
The role of cash in a portfolio

When markets turn volatile, cash provides clients with confidence that they can weather the storm

By Michael Halloran & Jon Henderson
Sawtooth eyes new capital to stay competitive in TAMP marketplace
FINTECH AUG 04, 2020
Sawtooth eyes new capital to stay competitive in TAMP marketplace

Potential partnerships include deals with other TAMPs or with a private equity firm, according to one source

By Nicole Casperson
Skip Schweiss latest exec to depart TD Ameritrade
PRACTICE MANAGEMENT AUG 04, 2020
Skip Schweiss latest exec to depart TD Ameritrade

The company has seen two high-profile exits in as many weeks ahead of the $26 billion Schwab acquisition

By Jeff Benjamin
Trade association pushes retirement savings provisions for next COVID relief bill
RETIREMENT PLANNING AUG 04, 2020
Trade association pushes retirement savings provisions for next COVID relief bill

The Insured Retirement Institute calls for raising RMD age, allowing catch-up retirement contributions

By Mark Schoeff Jr.
Princeton settles DC lawsuit for $5.8 million
RETIREMENT PLANNING AUG 04, 2020
Princeton settles DC lawsuit for $5.8 million

Plaintiffs in the class-action case alleged the school's retirement plans had high fees and poorly performing, restrictive investment options

By Emile Hallez
FiNet team managing $300 million moves to Raymond James
INDEPENDENT BROKER DEALERS AUG 04, 2020
FiNet team managing $300 million moves to Raymond James

The six-adviser Uinta Wealth Management team is based in Salt Lake City

By InvestmentNews
Trio managing $1.05 billion joins UBS from Alex. Brown
INDEPENDENT BROKER DEALERS AUG 04, 2020
Trio managing $1.05 billion joins UBS from Alex. Brown

David Rosenthal, Stephen Collins and Daniel Rupp are based in Westport, Connecticut

By InvestmentNews
Retirees fare better than pre-retirees during pandemic
RETIREMENT PLANNING AUG 04, 2020
Retirees fare better than pre-retirees during pandemic

Millions of older Americans are providing financial support to adult children

By Mary Beth Franklin
Managing the gap between intentions and actions in the new retirement
OPINION AUG 04, 2020
Managing the gap between intentions and actions in the new retirement

Advisers should work with their clients to build upon the four pillars of retirement

By Ken Cella
House approves funding bill with provision to kill SEC's private markets proposal
RETIREMENT PLANNING AUG 03, 2020
House approves funding bill with provision to kill SEC's private markets proposal

Advocates for alternative investments oppose the provision, which is not likely to survive in the Senate

By Mark Schoeff Jr.
Merrill, Fidelity sign injunction over client data
PRACTICE MANAGEMENT AUG 03, 2020
Merrill, Fidelity sign injunction over client data

An adviser who recently left Fidelity allegedly used client data from his former job to contact prospects

By Emile Hallez