RIA News

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How planning-focused advisors are stepping up for federal downsizing casualties
RIA NEWS MAR 31, 2025
How planning-focused advisors are stepping up for federal downsizing casualties

Amid the continuing fog of financial uncertainty from DOGE layoffs and buyouts, CFP professionals and RIAs are raising their hands.

By Leo Almazora
Is this the end of the Magnificent 7?
ETFS MAR 31, 2025
Is this the end of the Magnificent 7?

Financial advisors offer their outlooks on the future of the Magnificent 7 stocks, as well as the AI-boom.

By Gregg Greenberg
Raymond James, Equitable welcome breakaways from Morgan Stanley, JPMorgan
INDEPENDENT BROKER DEALERS MAR 31, 2025
Raymond James, Equitable welcome breakaways from Morgan Stanley, JPMorgan

RayJay is adding a $465 million team to its employee advisor arm in West Virginia as Equitable recruits an experience advisor in New York.

By Leo Almazora
Two-thirds of investors worried they'll outlive their assets
RETIREMENT PLANNING MAR 31, 2025
Two-thirds of investors worried they'll outlive their assets

Study of mass affluent and high-net-worth individuals reveals concerns around retirement income, Social Security, and safeguarding wealth.

By Leo Almazora
ETF frenzy hits fever pitch with 1,000 new launches forecast for 2025
ETFS MAR 31, 2025
ETF frenzy hits fever pitch with 1,000 new launches forecast for 2025

After breathtaking first quarter burst of 230 new products, industry experts are starting to see a thousand-launch year ahead driven by advisors and retail investors.

By Bloomberg
Senate aims for tricky two-step: advancing Trump's tax plans while delaying spending-cut showdown
RIA NEWS MAR 31, 2025
Senate aims for tricky two-step: advancing Trump's tax plans while delaying spending-cut showdown

Republican leaders are looking to include $2 trillion in spending cuts over a decade in an eventual bill as counterparts in the House press for an immediate reckoning.

By Leo Almazora
Wellington, Clearstead tap wirehouse alums to bolster wealth leadership
RIA NEWS MAR 31, 2025
Wellington, Clearstead tap wirehouse alums to bolster wealth leadership

The two wealth giants welcome former leaders from Goldman Sachs and JPMorgan as they look to drive their respective growth strategies forward.

By Leo Almazora
Ex-Schwab CEO Bettinger re-emerges at buyout firm CD&R
RIA NEWS MAR 31, 2025
Ex-Schwab CEO Bettinger re-emerges at buyout firm CD&R

The PE giant is tapping him to advise on investment opportunities in the financial services and technology sector.

By Bloomberg
Larry Fink calls for an end to investment inequality
ALTERNATIVES MAR 31, 2025
Larry Fink calls for an end to investment inequality

The BlackRock chairman and CEO's latest letter highlighted the role of private investments, tokenization, and emergency savings programs in helping democratize opportunities for investors.

By Leo Almazora
S&P 500 down 2%, as fear grows among Americans at inflation breaking point
RIA NEWS MAR 31, 2025
S&P 500 down 2%, as fear grows among Americans at inflation breaking point

Can households, businesses cope with another surge in prices?

By Steve Randall
Musk has lost $102B this year, admits DOGE gig is damaging Tesla
RIA NEWS MAR 31, 2025
Musk has lost $102B this year, admits DOGE gig is damaging Tesla

Billionaire optimistic long-term, sees opportunity from sale of X.

By Steve Randall
LPL to buy rival Commonwealth Financial Network for $2.7 billion in all-cash deal
INDEPENDENT BROKER DEALERS MAR 31, 2025
LPL to buy rival Commonwealth Financial Network for $2.7 billion in all-cash deal

'I’m taking a moment to pause and reflect,' one Commonwealth advisor tells IN.

By Bruce Kelly
Former OneAmerica broker suspended, fined for plundering hundreds of clients' nonpublic information
INDEPENDENT BROKER DEALERS MAR 28, 2025
Former OneAmerica broker suspended, fined for plundering hundreds of clients' nonpublic information

Finra says the former rep from Indiana transferred names, Social Security numbers, and other information associated with more than 1,300 customers to his personal email accounts.

By Leo Almazora
Charlie Javice convicted of defrauding JPMorgan over deal
RIA NEWS MAR 28, 2025
Charlie Javice convicted of defrauding JPMorgan over deal

Trial raises questions about JPMorgan’s due diligence process.

By Bloomberg
Which side of the Fed's dual mandate worries advisors more: Inflation or employment?
EQUITIES MAR 28, 2025
Which side of the Fed's dual mandate worries advisors more: Inflation or employment?

Recent economic data is forcing the Federal Reserve to choose between maximum employment and lower prices. Financial advisors weigh in on which threat most concerns them.

By Gregg Greenberg
Financial services enter recruiting playbook for college athletics
RIA NEWS MAR 28, 2025
Financial services enter recruiting playbook for college athletics

March Madness brings tax season to the forefront for firms like WFA and Scout, which help college athletes manage their finances in the NIL era.

By Andrew Cohen
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