RIA News

Displaying 36702 results
ADVISOR NEWS RETIREMENT PLANNING MAY 10, 2018
Chattanooga pension fund accuses Wells Fargo of fraud in revenue sharing

The Chattanooga Fire and Police Pension Fund's allegations involve rebates of revenue-sharing from mutual funds

By Rob Kozlowski
INVESTING LIFE INSURANCE AND ANNUITIES MAY 09, 2018
FedEx shifts pension obligations by purchasing $6 billion group annuity

The pension risk transfer is the biggest since 2012, when Verizon purchased a $7.5 billion annuity

By Bloomberg
RIAS RIA NEWS MAY 09, 2018
New report sounds alarm over demographic changes facing advice industry

Within five years, TD Ameritrade report shows client pool will tip toward younger generations.

By Jeff Benjamin
RIAS RIA NEWS MAY 09, 2018
Money managers parse the current state of the market, and how they advise their clients

Focus on pricing power, whether growth is sustainable, earnings and volatility.

By Bloomberg
ADVISOR NEWS FINTECH MAY 09, 2018
BlackRock bets on small-time investors with stake in Acorns

Giant asset manager invests in app that lets individuals put spare change from purchases into ETF portfolios.

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING MAY 09, 2018
Bill Kline out as head of Gallagher's $55 billion retirement-plan aggregator

Said new CEO wanted to put in his own team as part of a reorganization.

By Greg Iacurci
RIAS RIA NEWS MAY 09, 2018
Arthur Grant looks back on 33 years at the helm of Cadaret Grant

In a business increasingly difficult for individual business owners, Mr. Grant built the independent broker-dealer into one of the more successful firms in the industry.

By Bruce Kelly
ADVISOR NEWS REGULATION AND LEGISLATION MAY 09, 2018
SEC publishes advice rule, sets Aug. 7 comment deadline

The proposal package, filled with questions, is likely to generate hundreds of letters.

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING MAY 09, 2018
Social Security's most confusing rules

Workers' age and marital status determine their claiming options.

By Mary Beth Franklin
RIAS RIA NEWS MAY 09, 2018
What are the business priorities of elite 401(k) advisers in 2018?

Managing the firm's operations and employees appears to be the standout.

By Fred Barstein
INVESTING LIFE INSURANCE AND ANNUITIES MAY 08, 2018
Finra fines Fifth Third Securities $4 million for variable-annuity violations

In second major VA enforcement action against Fifth Third, firm also must pay $2 million in restitution.

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING MAY 08, 2018
Four challenges in using annuities for retirement planning — and how to overcome them

Annuities are confusing, and retirement savers worry about market volatility and want the freedom to spend their savings as they choose.

By Paula Nelson
ADVISOR NEWS REGULATION AND LEGISLATION MAY 08, 2018
Piwowar departure will complicate action on SEC advice rule

Commissioner set to leave agency July 7, about a month before proposal's comment deadline hits.

By Mark Schoeff Jr.
RIAS PRACTICE MANAGEMENT MAY 08, 2018
Navigating Transitions: 5 Essential Keys to Success

For advisors considering a move, these five elements can help guide your practice to a successful transition.

By Gillian Albert
ADVISOR NEWS RETIREMENT PLANNING MAY 07, 2018
Auto features boost plan participants' retirement income replacement level

Participants who are auto-enrolled are on track to replace more of their income in retirement, Empower survey shows

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING MAY 07, 2018
Asset managers shift 401(k) distribution toward RIA aggregator firms

That could mean fewer wholesalers calling on individual advisers in the field.

By Greg Iacurci
ADVISOR NEWS REGULATION AND LEGISLATION MAY 07, 2018
Court ruling aside, for now DOL will rely on fiduciary rule to govern investment advice

Agency says advisers must make good-faith compliance efforts to rely on exemptions

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING MAY 07, 2018
Advisers push retired clients to embrace investment risk

Dealing with clients' anxiety explaining that retiring is different from dying.

By Jeff Benjamin
ADVISOR NEWS INDEPENDENT BROKER DEALERS MAY 07, 2018
Utah moves to fine Cetera, LPL and CUSO over credit union violations

Utah moves to charge Cetera, LPL and CUSO over failing to represent credit union relationships correctly.

By Bruce Kelly
RIAS RIA NEWS MAY 07, 2018
Merger of CFO4Life and Vogel creates $1.2 billion firm

The two wealth managers are located in the suburbs of Dallas.

By InvestmentNews