RIA News

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RIAS PRACTICE MANAGEMENT JUL 28, 2017
LPL's head count drops by almost 100 advisers in 2Q

Recruiting was down due to regulatory uncertainty, particularly over the DOL fiduciary rule, according to CEO Dan Arnold.

By Bruce Kelly
ADVISOR NEWS RETIREMENT PLANNING JUL 28, 2017
U.S. plummets on global ranking for retirement security

Norway, Switzerland and Iceland hold on to the top three slots.

By Bloomberg
Most women flunk retirement income literacy quiz
ADVISOR NEWS RETIREMENT PLANNING JUL 28, 2017
Most women flunk retirement income literacy quiz

Only 18% of retirement age women can pass a basic quiz about how to make a nest egg last in retirement.

By Mary Beth Franklin
ADVISOR NEWS RETIREMENT PLANNING JUL 28, 2017
Advisers: What about your retirement?

Formulating a holistic plan is a good approach for clients, and you as well.

By Joni Youngwirth
ADVISOR NEWS RETIREMENT PLANNING JUL 27, 2017
On Social Security, financial advisers tell clients to not count on much

Beyond debating its solvency, advisers embrace the reality of a broken system.

By Jeff Benjamin
INVESTING LIFE INSURANCE AND ANNUITIES JUL 27, 2017
Filling in the protection gap for high-income earning physicians

Many doctors find a serious gap between the benefits of traditional disability and the replacement of their true income.

By Jason Zimmerman
RIAS RIA NEWS JUL 27, 2017
Merrill Lynch loses two teams managing $500 million to Raymond James

Separate four-person and two-person groups join employee unit in Tucson, Ariz.

By InvestmentNews
RIAS RIA NEWS JUL 27, 2017
Hanson McClain sells majority interest to private equity firm

Founders of the RIA will stay on and use proceeds to expand into new markets.

By InvestmentNews
RIAS RIA NEWS JUL 27, 2017
Fidelity taps Goldman Sachs to expand lending services through RIAs

Streamlined non-purpose loans use investment portfolios as collateral.

By Jeff Benjamin
ADVISOR NEWS RETIREMENT PLANNING JUL 27, 2017
Most women flunk retirement income literacy quiz

Many female clients want advisers to educate them about investing and longevity risks.

By Mary Beth Franklin
Postponing tax is a lofty goal
RIAS RIA NEWS JUL 27, 2017
Postponing tax is a lofty goal

Offering a comprehensive tax-postponement strategy can be extremely beneficial to clients.

By Sheryl Rowling
ADVISOR NEWS INDEPENDENT BROKER DEALERS JUL 27, 2017
Cetera loses bank brokers managing $750 million ​

Brokerage arm of Great Western Bank in South Dakota switches to Raymond James.

By Bloomberg
ADVISOR NEWS REGULATION AND LEGISLATION JUL 26, 2017
Jay Clayton says SEC, DOL can give market 'clarity' on fiduciary rule

Chief regulator is confident two agencies could reach 'common ground' on an investment advice standard across all accounts.

By Mark Schoeff Jr.
RIAS PRACTICE MANAGEMENT JUL 26, 2017
FS Investments promotes Mike Kelly to president

Will retain role as chief investment officer.

By InvestmentNews
ADVISOR NEWS RETIREMENT PLANNING JUL 26, 2017
Retirement plan participation higher than previously thought: ICI

But there's still plenty of room for improvement.

By John Waggoner
ADVISOR NEWS REGULATION AND LEGISLATION JUL 25, 2017
Sen. Gary Peters brings broker background to work every day on Capitol Hill

Michigan Democrat resists ripping up DOL fiduciary rule but would be open to some changes.

By Mark Schoeff Jr.
ADVISOR NEWS INDEPENDENT BROKER DEALERS JUL 25, 2017
Independent broker-dealer Vanderbilt revamps to focus on impact investing

The $3B AUM firm rebrands itself with commitment to sustainability in investment options and own culture.

By Liz Skinner
RIAS RIA NEWS JUL 25, 2017
United Capital buys three RIAs, adds $758 million

The 'hat trick' is in line with consolidator acquisition trends

By Jeff Benjamin
ADVISOR NEWS WIREHOUSES JUL 25, 2017
Wells Fargo wants mistakenly sent client data returned

Information includes names, Social Security numbers of tens of thousands of wealthy clients.

By Bloomberg
RIAS RIA NEWS JUL 24, 2017
Near-record pace of M&A continues for RIA firms

Second-quarter saw 38 deals, says DeVoe report.

By InvestmentNews