RIA News

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RETIREMENT PLANNING JUL 21, 2017
Missing from Retirement Income Planning: A Plan

Majority of advisers do not create written plans for clients, forgoing business growth opportunities.

By Mary Beth Franklin
RETIREMENT PLANNING JUL 21, 2017
Social Security Underfunding Threatens Americans' Retirement

With Social Security running out of money, one of the pillars of retirement is in jeopardy.

By Bloomberg
RETIREMENT PLANNING JUL 21, 2017
Employers Reducing Contributions to Retirement Benefits: Study

Employers cut their contributions to workers' retirements by 25% from 2001 to 2015, according to a new report from Willis Towers Watson.

By Bloomberg
RIA NEWS JUL 21, 2017
Having reached the summit, can Vanguard maintain its perch?

Unique challenges ahead for new CEO of the second-largest money manager in the world.

By Nir Kaissar
REGULATION AND LEGISLATION JUL 21, 2017
Don't forget: Comment period for CFP Board's new standards ends Aug. 21

The proposed standards enhance the value of certification by establishing clear standards for the delivery of financial advice.

By Bloomberg
REGULATION AND LEGISLATION JUL 21, 2017
Sean Spicer resigns as press secretary after Anthony Scaramucci is appointed communications director

Scaramucci is known as an ardent foe of the DOL fiduciary rule, having said during the campaign that Trump would repeal it .

By Bloomberg
EMERGING MARKETS JUL 20, 2017
GMO: Don't overlook risk in emerging markets

Cheap valuations aren't the only factor when deciding to invest

By John Waggoner
RIA NEWS JUL 20, 2017
Fifteen advisers, six firms named finalists by charitable foundation

Industry's top volunteers will receive Invest in Others Awards in September.

By InvestmentNews
FIXED INCOME JUL 20, 2017
Central banks must use caution in further tightening, Gross says

The go-slow warning marks a shift for the billionaire Janus bond fund manager.

By Bloomberg
RETIREMENT PLANNING JUL 20, 2017
How to fix Social Security

Retirement expert Alicia Munnell talks about the options for mending the 82-year-old safety net.

By Bloomberg
RIA NEWS JUL 20, 2017
One Inheritance You May — Or May Not — Want To Receive

Study shows that we inherit our money habits from our parents, which can be a good or a bad thing.

By Bloomberg
INDEPENDENT BROKER DEALERS JUL 20, 2017
Pennsylvania slams midsize broker-dealer with $500,000 fine

Newbridge Securities agrees to the order without admitting or denying allegations

By Bruce Kelly
MUTUAL FUNDS JUL 20, 2017
Time to remind clients about taxes

No matter what tax reform Congress enacts, funds will still feel a bite

By John Waggoner
RIA NEWS JUL 20, 2017
Merrill Lynch trio managing $463 million joins Ameriprise

Team switches firms but stays in Roseville, Calif.

By InvestmentNews
RIA NEWS JUL 20, 2017
Wells Fargo team managing $351 million in Gainesville, Georgia, goes independent

Strong Gaddy Lee Wealth Management chooses hybrid route with LPL.

By InvestmentNews
RIA NEWS JUL 20, 2017
SEC fines KMS Financial Services $100,000 for conflicts of interest

Agency says Seattle-based hybrid failed to disclose revenue-sharing with broker-dealer.

By Bloomberg
REGULATION AND LEGISLATION JUL 20, 2017
DOL regulation translates into pay cut for some advisers

Reduction in compensation begs question of whether rule is being twisted to bolster broker-dealers' bottom lines.

By Bruce Kelly
RIA NEWS JUL 19, 2017
Robos are offering SRI, so shouldn't live advisers?

Two more digital advice platforms will provide sustainable investment options to clients

By Liz Skinner
RETIREMENT PLANNING JUL 19, 2017
U.S. falls further in retirement security ranking among developed countries

Natixis survey finds America fell three places and now ranks 17th among 43 nations.

By InvestmentNews
REGULATION AND LEGISLATION JUL 19, 2017
House panel passes bill to replace DOL fiduciary rule with one requiring disclosure of conflicts

Measure likely to continue in partisan advance in House, but could stall in Senate.

By Mark Schoeff Jr.