RIA News

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Motherhood has implications for women's financial well-being, EBRI suggests
RETIREMENT PLANNING MAR 28, 2025
Motherhood has implications for women's financial well-being, EBRI suggests

Analysis of census data reveals disparities in income, retirement assets, and homeownership between fathers, mothers, and unmarried women.

By Leo Almazora
Judge dismisses investor suit against Barclays over unregistered VXX securities
REGULATION, LEGAL & COMPLIANCE MAR 28, 2025
Judge dismisses investor suit against Barclays over unregistered VXX securities

Federal court stops action over unregistered securities claim.

By Matthew Sellers
Consumer sentiment plummets as tariff anxieties take hold
RIA NEWS MAR 28, 2025
Consumer sentiment plummets as tariff anxieties take hold

Long-term inflation expectations leap to 32-year high while fears of layoffs registers worst reading since 2020.

By Bloomberg
SEC begins onboarding DOGE staff, Reuters reports
RIA NEWS MAR 28, 2025
SEC begins onboarding DOGE staff, Reuters reports

The agency is establishing a liaison team to partner with the efficiency task force on requests for network, systems, and data access.

By Leo Almazora
Wealth Enhancement, Bluespring add new RIA partners
RIA NEWS MAR 28, 2025
Wealth Enhancement, Bluespring add new RIA partners

The acquisitive firms' latest deals extend their presence with experienced teams in Texas and Wisconsin.

By Leo Almazora
Blackstone buyout fund closes years late, billions short of initial goals
ALTERNATIVES MAR 28, 2025
Blackstone buyout fund closes years late, billions short of initial goals

The alternative investment giant expects fundraising to wrap around the end of the month, effectively taking twice as long as peers that closed in the past year.

By Bloomberg
What Americans actually want in an advisory relationship
PRACTICE MANAGEMENT MAR 28, 2025
What Americans actually want in an advisory relationship

New research unpacks the top traits clients look for in an advisor, why some advice may leave people dissatisfied, and the factors that fuel trust.

By Leo Almazora
Add Commonwealth Financial – a blockbuster – to the list of potential LPL targets
INDEPENDENT BROKER DEALERS MAR 28, 2025
Add Commonwealth Financial – a blockbuster – to the list of potential LPL targets

Chatter about LPL, a behemoth, buying Commonwealth Financial Network, a boutique, has been building all week.

By Bruce Kelly
Younger Americans are changing the dynamics of IRAs
RIA NEWS MAR 28, 2025
Younger Americans are changing the dynamics of IRAs

Millennials, Gen Zs are not following the preferences of older generations.

By Steve Randall
How does your schedule stack up against a typical advisor?
RIA NEWS MAR 28, 2025
How does your schedule stack up against a typical advisor?

Report reveals how advisors in RIAs, broker-dealers split their time.

By Steve Randall
LPL adds $600M UBS team in Tennessee
INDEPENDENT BROKER DEALERS MAR 27, 2025
LPL adds $600M UBS team in Tennessee

The firm's latest additions, led by a second-generation financial advisor, are striking out via its Linsco employee advisor channel.

By Leo Almazora
eMoney supports focused financial planning with enhanced needs analysis
FINTECH MAR 27, 2025
eMoney supports focused financial planning with enhanced needs analysis

The Fidelity-owned fintech aims to help advisors connect with mass market and mass affluent prospects with single-goal conversations.

By Leo Almazora
Trump SEC pick Paul Atkins grilled by Democrats in early political test
REGULATION, LEGAL & COMPLIANCE MAR 27, 2025
Trump SEC pick Paul Atkins grilled by Democrats in early political test

The prospective chair of the agency has pledged to shed conflicted interests and "return common sense to the SEC."

By Bloomberg
Finra moves to boot Alpine Securities, same firm that claims the regulator can’t
INDEPENDENT BROKER DEALERS MAR 27, 2025
Finra moves to boot Alpine Securities, same firm that claims the regulator can’t

'If I were on the side of Alpine Securities, I’d put all my eggs in the federal court,' one attorney said.

By Bruce Kelly
CFP Board floats new procedural rules around bankruptcy, misdemeanors
RIA NEWS MAR 27, 2025
CFP Board floats new procedural rules around bankruptcy, misdemeanors

If approved, the proposed revisions would achieve outcomes similar to the existing process while reducing the burden of oversight.

By Leo Almazora
What pre-retirees don't know about Social Security could be hurting them, says T. Rowe Price
RETIREMENT PLANNING MAR 27, 2025
What pre-retirees don't know about Social Security could be hurting them, says T. Rowe Price

Survey research reveals gaps in retirement savers' knowledge, pessimism around receiving benefits, and a lack of good options to solve looming solvency crisis.

By Leo Almazora
Could active ETFs act as a client acquisition magnet?
PRACTICE MANAGEMENT MAR 27, 2025
Could active ETFs act as a client acquisition magnet?

Actively managed ETFs may offer an edge for advisors courting Gen X, millennial, and Gen Z investors, according to Capital Group.

By Leo Almazora
Vanguard connected with Blackstone, Carlyle on potential private market tie-ups
ALTERNATIVES MAR 27, 2025
Vanguard connected with Blackstone, Carlyle on potential private market tie-ups

The exploratory talks, reported by unnamed sources, speak to a larger trend of traditional asset managers wading further into the alternative assets space.

By Bloomberg
Women's History Month: Female advisors talk about 'trailblazing' and wealth management
PRACTICE MANAGEMENT MAR 27, 2025
Women's History Month: Female advisors talk about 'trailblazing' and wealth management

Four female wealth managers discuss the pros and cons of being a 'trailblazer' and what motivates them to keep pushing the industry forward.

By Gregg Greenberg
CEO rails against DEI rollbacks
PRACTICE MANAGEMENT MAR 27, 2025
CEO rails against DEI rollbacks

Claims of merit miss the point, according Stoy Hall.

By Chris Davis