RIA News

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FINTECH SEP 05, 2017
The latest in financial adviser #FinTech

This month's edition kicks off with the big news that Personal Capital has crossed $5B of AUM.

By mkitces
OPINION SEP 05, 2017
BLIND SPOT: Expectations, Emotions, and Investor Behavior

By David Goodsell
RETIREMENT PLANNING SEP 02, 2017
Fiduciary education is key for plan-sponsor investment committees

Regular training can help committee members understand their responsibilities to plan participants.

By ecooper
RETIREMENT PLANNING SEP 02, 2017
Where 401(k) advisers are on the industry consolidation curve

Most industries will go through four stages of consolidation as they mature over a 25-year period. Here's where record keepers and 401(k) advisers stand.

By Fred Barstein
RETIREMENT PLANNING SEP 02, 2017
How retirement plan advisers can combat 'dramatic' fee compression

The fee squeeze is at a tipping point, and 401(k) advisers need to adapt by being more diligent in assessing their profit margins and value proposition.

By Greg Iacurci
INDEPENDENT BROKER DEALERS SEP 02, 2017
Finra: Who's watching the watchdog?

The regulator wields enormous power over the securities industry 
with little meaningful oversight.

By Mark Schoeff Jr. and Bruce Kelly
RETIREMENT PLANNING SEP 01, 2017
Should you buy a dam for your house?

Weather events are prompting sales of dams that cost homeowners $8,000 to $12,000, on average.

By Bloomberg
RETIREMENT PLANNING SEP 01, 2017
Your children can spare you time and money in a nursing home

For someone with kids, both time spent in a nursing home and out-of-pocket costs are significantly lower than for those without children.

By Bloomberg
PRACTICE MANAGEMENT SEP 01, 2017
Finra fines ex-Morgan Stanley rep for secretly settling with client

The Miami-based broker is also suspended for 15 days

By Bloomberg
RIA NEWS SEP 01, 2017
The challenge of the longer lifespan

How financial advisers can help clients face the threat of outliving retirement savings

By Blaine F. Aikin
RIA NEWS SEP 01, 2017
LPL putting pressure on affiliates to recruit advisers to its corporate RIA

Internal memo details policies that discourage new advisers from using outside registered investment advisers.

By Jeff Benjamin
INDEPENDENT BROKER DEALERS SEP 01, 2017
SEC charges ex-Connecticut rep with $1 million fraud

Agency says he diverted elderly clients' money to his own accounts

By Bloomberg
EMERGING MARKETS SEP 01, 2017
Bulls see room to run after 8-month gain in emerging markets

Developing nations' equities poised for their best year since 2009

By Bloomberg
FIXED INCOME SEP 01, 2017
Junk bonds face wave of supply just as investors turn sour

Will cheaper prices entice buyers or will summer's slump continue?

By Bloomberg
RETIREMENT PLANNING SEP 01, 2017
Government agency announces new reverse mortgage rules

The Department of Housing and Urban Development raises premiums, tightens borrowing limits for new loans to seniors.

By Mary Beth Franklin
REGULATION AND LEGISLATION SEP 01, 2017
Former MetLife rep fined $15,000 for borrowing from clients

Finra also suspends the broker, a firm lifer, for 18 months

By InvestmentNews
RIA NEWS SEP 01, 2017
Finra panel awards Edward Jones $340,000 in estate dispute

Arbitration puts blame on client's power of attorney, not firm

By InvestmentNews
LIFE INSURANCE AND ANNUITIES SEP 01, 2017
Harvey may be among the world's most costly recent catastrophes

Risk modeler estimates up to $90 billion in losses

By Bloomberg
RIA NEWS SEP 01, 2017
Connecting with Millennial Clients

By John Fencil
RIA NEWS AUG 31, 2017
Wells Fargo increases fake-account estimate 67% to 3.5 million

Revised tally covers a longer period, going back to 2009

By Bloomberg