RIA News

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RIAS RIA NEWS OCT 01, 2019
TD Ameritrade fires back at Schwab by cutting commissions to zero

After seeing its stock price drop 25%, TD charges headlong into the latest low-fee battle.

By Jeff Benjamin
RIAS RIA NEWS SEP 30, 2019
Wells Fargo's New York CEO fuels questions about its West Coast base

The bank's leadership team is decentralized, and it has more than five times as many Charlotte-based job openings on its website as San Francisco listings

By Bloomberg
RIAS RIA NEWS SEP 30, 2019
Trump officials play down reports of limits on China investments

A Treasury spokeswoman said in an email that there are no current plans to stop Chinese companies from listing on U.S. exchanges

By Bloomberg
RIAS RIA NEWS SEP 30, 2019
New rules make it easier to access 401(k) funds

Treasury and the IRS issued rules that will expand employees' access to their 401(k) funds in cases of financial hardship.

By Greg Iacurci
RIAS RIA NEWS SEP 30, 2019
Negative yields find their way into U.S. investor portfolios

Some bond index funds have no choice but to maintain large weightings in bonds with negative yields.

By Jeff Benjamin
RIAS RIA NEWS SEP 30, 2019
SALT tax-cap challenge by New York and New Jersey is tossed

The judge said the federal government has 'exhaustive' power to impose and collect income taxes

By Bloomberg
RIAS RIA NEWS SEP 30, 2019
What 'householding' means for advisers, and why it's the holy grail for technology

For many, the future of advice means effectively managing all a family's accounts.

By Ryan W. Neal
A new twist on Medicare open enrollment
ADVISOR NEWS RETIREMENT PLANNING SEP 30, 2019
A new twist on Medicare open enrollment

The government projects a decline in premiums next year for Medicare Advantage and drug plans.

By Mary Beth Franklin
ADVISOR NEWS RETIREMENT PLANNING SEP 28, 2019
Income annuities provide retirees longevity protection

An excerpt from Wade Pfau's new book, 'Safety-First Retirement Planning: An Integrated Approach for a Worry-Free Retirement'

By Wade Pfau
RIAS RIA NEWS SEP 28, 2019
Trump wrong to challenge workplace savings plans

Programs that enhance retirement saving should be encouraged, not assailed.

By Investment News Team
RIAS PRACTICE MANAGEMENT SEP 27, 2019
Wells Fargo names BNY Mellon's Charles Scharf CEO

The new CEO will lead the efforts to turn the bank around after a series of scandals.

By Bloomberg
RIAS RIA NEWS SEP 27, 2019
Wells Fargo lures new CEO by boosting pay 40%

Scharf's annual target compensation was set at $23 million, up from his $16.5 million target pay in his final full year at BNY Mellon.

By Bloomberg
RIAS RIA NEWS SEP 27, 2019
White House weighs limits on U.S. portfolio flows into China

A U.S. crackdown on capital flows would create a new pressure point in the trade war.

By Bloomberg
Voya Financial Advisors settles with more than a dozen clients of former broker
RIAS RIA NEWS SEP 27, 2019
Voya Financial Advisors settles with more than a dozen clients of former broker

So far, the firm has paid more than $900,000 on complaints about the REITs and variable annuities the broker used in clients' portfolios.

By Bruce Kelly
RIAS RIA NEWS SEP 27, 2019
Finra censures Newbridge Securities and fines firm $225,000

The firm consents to having inadequately supervised sales of complex products.

By InvestmentNews
RIAS RIA NEWS SEP 27, 2019
Voya retirement chief talks M&A, fee pressure and emerging 401(k) fraud

Charlie Nelson oversees one of the largest retirement-plan record-keeping operations.

By Greg Iacurci
RIAS RIA NEWS SEP 27, 2019
Hunt for tax havens fuels $47 billion stampede into muni debt

While the municipal market has weakened recently, it's still delivered returns of about 6.7% this year.

By Bloomberg
RIAS RIA NEWS SEP 26, 2019
Hybrid managing $150 million switches to LPL from Kestra

Chesapeake Investment Planning is based on an island in the bay.

By InvestmentNews
RIAS RIA NEWS SEP 26, 2019
Finra bars IFS Securities executive linked to reported $10 million trading loss

Keith Wakefield did not testify in Finra investigation of 'trading improprieties' at IFS.

By Bruce Kelly
The 401(k)-HSA savings rule of thumb works, until it doesn't
RIAS RIA NEWS SEP 26, 2019
The 401(k)-HSA savings rule of thumb works, until it doesn't

Is it better to max out your HSA or 401(k)? Know more in this discussion

By Ramon Berenguer