RIA News

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Retirement is forced upon roughly a quarter of Americans
RETIREMENT PLANNING JUN 03, 2019
Retirement is forced upon roughly a quarter of Americans

Nearly half of those who retired last year were younger than 62, while a quarter were between 62 and 64.

By Bloomberg
Superstar advisers with $17 billion in AUM bolt from First Republic
RIA NEWS JUN 03, 2019
Superstar advisers with $17 billion in AUM bolt from First Republic

The four advisers are setting up two separate RIAs.

By Bruce Kelly
One of the most hated tax breaks in America just won't die
RIA NEWS JUN 03, 2019
One of the most hated tax breaks in America just won't die

Some claim it helps produce jobs for Americans while others claim killing it wouldn't raise much revenue.

By Bloomberg
Merrill Lynch adding human advisers to Guided Investing robo
FINTECH JUN 03, 2019
Merrill Lynch adding human advisers to Guided Investing robo

The advisers will fill a service gap between the firm's purely digital, self-directed robo-adviser and the full-service advisers of Merrill Lynch.

By Ryan W. Neal
Supreme Court to hear 401(k) stock-drop case
RETIREMENT PLANNING JUN 03, 2019
Supreme Court to hear 401(k) stock-drop case

The high court could have a significant impact on how such retirement plan suits involving company stock play out.

By Greg Iacurci
What you need to know about professional fiduciaries
REGULATION AND LEGISLATION JUN 03, 2019
What you need to know about professional fiduciaries

A new model law would allow states to do a better job of protecting the interests of those subject to guardianship.

By Blaine F. Aikin
Lessons learned from 21 deals
OPINION JUN 03, 2019
Lessons learned from 21 deals

Dave Barton of Mercer Advisors talks about pricing, deal terms, timelines and other aspects of RIA transactions

By Dave Barton
What to look for in the final SEC advice rule
REGULATION AND LEGISLATION JUN 03, 2019
What to look for in the final SEC advice rule

After 6,000 comment letters, here are the key points advisers want the SEC to resolve in its final rule package.

By Mark Schoeff Jr.
RIA NEWS JUN 01, 2019
Giving employees an ownership stake

5 steps to make the goal as helpful and painless as possible.

By Adam Shell
An inside job: Advisers are picking, grooming successors from within
RIA NEWS JUN 01, 2019
An inside job: Advisers are picking, grooming successors from within

To help attract, motivate and retain employees, advisers are giving them a stake in the business and laying the foundation for a succession plan.

By Adam Shell
RIA rundown 2019: Top fee-only RIAs by state
RIA NEWS JUN 01, 2019
RIA rundown 2019: Top fee-only RIAs by state

States where fee-only RIAs are headquartered, ranked by total assets

By Ellie Zhu
RIA Rundown 2019: Biggest gainers
RIA NEWS JUN 01, 2019
RIA Rundown 2019: Biggest gainers

$1 billion+ fee-only RIAs ranked by year-over-year growth in total assets.

By Ellie Zhu
RIA rundown 2019: Largest fee-only RIAs
RIA NEWS JUN 01, 2019
RIA rundown 2019: Largest fee-only RIAs

Ranked by total assets under management

By Ellie Zhu
Finra suspends ex-Morgan Stanley broker who made hundreds of CD trades for elderly client
PRACTICE MANAGEMENT MAY 31, 2019
Finra suspends ex-Morgan Stanley broker who made hundreds of CD trades for elderly client

The broker, David Strnad, "exceeded the scope of his authority" when he made the trades, according to Finra.

By Bruce Kelly
New W-4 form aims to prevent tax refund surprises
RIA NEWS MAY 31, 2019
New W-4 form aims to prevent tax refund surprises

But the redesigned withholding form won't be available until next year.

By Bloomberg
One adviser from UBS and two from Merrill Lynch move to Raymond James
RIA NEWS MAY 31, 2019
One adviser from UBS and two from Merrill Lynch move to Raymond James

The number of assets managed by each adviser ranges from $137 to $190 million

By InvestmentNews
Team managing $571 million at Merrill Lynch moves to Stifel
RIA NEWS MAY 31, 2019
Team managing $571 million at Merrill Lynch moves to Stifel

Two-rep, five-person group joins firm in Sugar Land, Texas.

By InvestmentNews
What the new DOL fiduciary rule will probably look like
RIA NEWS MAY 31, 2019
What the new DOL fiduciary rule will probably look like

The regulation can't mirror the SEC's advice rule, but could borrow many of its key concepts.

By Greg Iacurci
Retirement plan provider sticks with embattled celeb Tony Robbins
RIA NEWS MAY 31, 2019
Retirement plan provider sticks with embattled celeb Tony Robbins

The self-help guru is a board member and 30% owner of America's Best 401(k) Company.

By Jeff Benjamin
Senate tries to put SECURE retirement bill on fast track
RETIREMENT PLANNING MAY 31, 2019
Senate tries to put SECURE retirement bill on fast track

Supporters want to maintain momentum of 417-3 House approval.

By Mark Schoeff Jr.