RIA News

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INVESTING LIFE INSURANCE AND ANNUITIES APR 25, 2018
Indexed annuities likely to rebound after dip in sales last year

An increase in market volatility, higher interest rates and dissipating anxiety around the Labor Department's fiduciary rule are improving the product outlook.

By Greg Iacurci
RIAS RIA NEWS APR 24, 2018
Merrill loses $123 million adviser to hybrid

Ric Kellogg joins IHT Wealth Management in Texas.

By Bloomberg
ADVISOR NEWS REGULATION AND LEGISLATION APR 24, 2018
Finra touts improvements during first year of Finra 360 operational review

Critics say the changes so far don't go far enough.

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING APR 24, 2018
Employees say workplace retirement plan will be a major retirement income source

Workers are less confident about the role Social Security will play in their retirement, EBRI survey shows.

By Robert Steyer
Labor Department says ESG investments aren't always `prudent'
ADVISOR NEWS RETIREMENT PLANNING APR 24, 2018
Labor Department says ESG investments aren't always `prudent'

Socially responsible investors say rules could sow confusion among managers

By Bloomberg
RIAS RIA NEWS APR 24, 2018
The unique nature of working with celebrity clients

Athletes and entertainers are just like everyone else — aside from complex tax issues, a lack of financial savvy and a need for prenups

By Jeff Benjamin
ADVISOR NEWS REGULATION AND LEGISLATION APR 24, 2018
Ameriprise CEO James Cracchiolo welcomes new SEC advice rule

He says the proposal is more appropriate than the DOL fiduciary rule.

By Bruce Kelly
ADVISOR NEWS WIREHOUSES APR 24, 2018
Merrill Lynch fires Chicago star broker Bruce Lee

A perennial member of Barron's list of top financial advisers, his team managed nearly $3 billion in client assets

By Bruce Kelly
RIAS RIA NEWS APR 23, 2018
RIA sellers might be rushing in ahead of market turmoil

Latest research from DeVoe & Co. shows a first-quarter spike in activity.

By Jeff Benjamin
RIAS RIA NEWS APR 23, 2018
Chicago adviser Daniel H. Glick sentenced to 12 1/2 years for fraud

Ordered to pay $5.2 million in restitution.

By InvestmentNews
RIAS RIA NEWS APR 23, 2018
Royal Alliance loses team overseeing $420 million to Kestra

Husband-and-wife-led team operates as Questmont Strategic Wealth.

By InvestmentNews
ADVISOR NEWS REGULATION AND LEGISLATION APR 23, 2018
5 key questions about the SEC's proposed 'best interest' standard

The regulator may have purposely left portions of the standard vague so it can crack down on behavior not explicitly stated in the rule.

By Bloomberg
ADVISOR NEWS REGULATION AND LEGISLATION APR 23, 2018
Finra proposes to widen net for churning violations

Under new rule, brokers would not have to have control of account to be found liable.

By Mark Schoeff Jr.
RIAS RIA NEWS APR 23, 2018
The transformation of the adviser-client experience

The U.S. auto industry has changed dramatically in recent decades. Is wealth management headed for the same type of disruption?

By Steve Gresham
ADVISOR NEWS RETIREMENT PLANNING APR 23, 2018
Litigation, scale push private colleges to adopt multiple employer plans

The movement to create multiple employer plans creates opportunity for retirement plan advisers.

By Blaine F. Aikin
RIAS RIA NEWS APR 21, 2018
SEC advice rule: Time for brokers, advisers to weigh in

Much work remains on the proposal, so feedback is crucial.

By crain-api
ADVISOR NEWS INDEPENDENT BROKER DEALERS APR 21, 2018
Things are looking up: IBDs soared in 2017

With revenue up, interest rates rising and regulation easing, IBDs are soaring.

By Bruce Kelly
Top independent broker-dealers ranked by revenue
ADVISOR NEWS INDEPENDENT BROKER DEALERS APR 21, 2018
Top independent broker-dealers ranked by revenue

Data include a breakdown of fee, commission revenue.

By Ellie Zhu
ADVISOR NEWS RETIREMENT PLANNING APR 20, 2018
The $1 million gender wealth gap

Compounding female wage inequity jeopardizes retirement security

By Mary Beth Franklin
ADVISOR NEWS RETIREMENT PLANNING APR 20, 2018
The rich are betting they can buy their way to a longer life

The successor to income inequality is longevity inequality

By Bloomberg