RIA News

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RIAS RIA NEWS OCT 05, 2019
There's more evolution than revolution in zero commissions

The elimination of commissions on trades was just a matter of time.

By InvestmentNews
Why aren't advisers warming up to ESG?
RIAS RIA NEWS OCT 05, 2019
Why aren't advisers warming up to ESG?

For ESG funds to attract more dollars, advisers are going to have to embrace the concept more enthusiastically than they have in the past

By Adam Shell
RIAS RIA NEWS OCT 05, 2019
Spotlighting sustainability

These short films will be shown Dec. 4 at the inaugural InvestmentNews ESG & Impact Forum Film Festival in New York.

By Bloomberg
Envestnet founder and CEO Jud Bergman killed in automobile crash
RIAS RIA NEWS OCT 04, 2019
Envestnet founder and CEO Jud Bergman killed in automobile crash

Co-founder Bill Crager was named interim chief executive.

By Ryan W. Neal
Price-pressure trend shines new light on RIA-custodian relationships
RIAS RIA NEWS OCT 04, 2019
Price-pressure trend shines new light on RIA-custodian relationships

Tighter margins for custodians call into question RIAs riding for free.

By Jeff Benjamin
Finra panel orders Stifel to pay $1.5 million to clients
RIAS RIA NEWS OCT 04, 2019
Finra panel orders Stifel to pay $1.5 million to clients

Sum constitutes compensatory damages for breach of duties.

By InvestmentNews
Advice industry reacts to Jud Bergman's death
RIAS RIA NEWS OCT 04, 2019
Advice industry reacts to Jud Bergman's death

Envestnet's CEO is remembered not just for the transformational company he led but for his humor and kindness.

By Ryan W. Neal
Prudential reverses variable annuity suspension in New York
RIAS RIA NEWS OCT 04, 2019
Prudential reverses variable annuity suspension in New York

The decision follows a similar route taken by peers like Jackson National and Lincoln Financial.

By Greg Iacurci
JPMorgan, BlackRock say investors too cautious on repeat of 2008
RIAS RIA NEWS OCT 04, 2019
JPMorgan, BlackRock say investors too cautious on repeat of 2008

Some advisers are endorsing stocks but are encouraging a selective approach.

By Bloomberg
LPL, Triad brokers lose Ohio National lawsuit over variable annuity commissions
RIAS RIA NEWS OCT 04, 2019
LPL, Triad brokers lose Ohio National lawsuit over variable annuity commissions

But brokers' hopes of restoring payments kept alive with rulings in two other cases.

By Greg Iacurci
Envestnet founder and CEO Jud Bergman killed in automobile crash
RIAS RIA NEWS OCT 04, 2019
Envestnet founder and CEO Jud Bergman killed in automobile crash

Co-founder Bill Crager was named interim chief executive.

By Ryan W. Neal
RIAS RIA NEWS OCT 04, 2019
Finra panel orders Stifel to pay $1.5 million to clients

Sum constitutes compensatory damages for breach of duties.

By InvestmentNews
RIAS RIA NEWS OCT 04, 2019
Price-pressure trend shines new light on RIA-custodian relationships

Tighter margins for custodians call into question RIAs riding for free.

By Jeff Benjamin
RIAS RIA NEWS OCT 04, 2019
LPL, Triad brokers lose Ohio National lawsuit over variable annuity commissions

But brokers' hopes of restoring payments kept alive with rulings in two other cases.

By Greg Iacurci
RIAS RIA NEWS OCT 04, 2019
JPMorgan, BlackRock say investors too cautious on repeat of 2008

Some advisers are endorsing stocks but are encouraging a selective approach.

By Bloomberg
RIAS RIA NEWS OCT 04, 2019
Prudential reverses variable annuity suspension in New York

The decision follows a similar route taken by peers like Jackson National and Lincoln Financial.

By Greg Iacurci
Trump to outline new vision for Medicare
RIAS RIA NEWS OCT 03, 2019
Trump to outline new vision for Medicare

An executive order regarding the Medicare system is titled "Protecting Medicare from Socialist Destruction."

By InvestmentNews
Nashville hybrid managing $150 million switches to SA Stone
RIAS RIA NEWS OCT 03, 2019
Nashville hybrid managing $150 million switches to SA Stone

The company and an RIA affiliate are units of the former Sterne Agee

By InvestmentNews
LPL reels in three teams from Advisor Group broker-dealers
RIAS RIA NEWS OCT 03, 2019
LPL reels in three teams from Advisor Group broker-dealers

LPL's haul includes two groups from FSC Securities and almost $1.5 billion in client assets.

By Bruce Kelly
Riskalyze launches multi-custodial trading tool
RIAS RIA NEWS OCT 03, 2019
Riskalyze launches multi-custodial trading tool

Company said software will reduce time advisers spend trading by 80%.

By Ryan W. Neal