RIA News

Displaying 37424 results
FINTECH FEB 28, 2017
Digital marketing strategies take years to perfect, but can yield prospects galore

Inbound marketing involves creating an impactful website, attracting interest to that site and building trust with visitors to inspire them to become clients.

By Liz Skinner
RETIREMENT PLANNING FEB 28, 2017
Empower telling 401(k) clients it won't be a fiduciary when DOL rule kicks in

Some observers question the move and at least one believes the firm may still be a fiduciary no matter what it claims.

By Greg Iacurci
EQUITIES FEB 27, 2017
Markets looking for policy details in Trump's speech

Some say it is critical for president to start outlining specifics on his pro-growth agenda to keep the rally going ​ 

By Bloomberg
RIA NEWS FEB 27, 2017
How value investors succeed during market volatility

A disciplined value strategy may provide investors with a more tolerable experience in the downward-trending phase and a potentially rewarding experience across the full market cycle.

By Kimball Brooker, Jr.
PRACTICE MANAGEMENT FEB 27, 2017
Wells Fargo loses $375M team to Raymond James

Preston Covington III and team expand firm's coverage to Columbia, S.C.

By Bloomberg
REGULATION, LEGAL & COMPLIANCE FEB 27, 2017
More reps plan shift to fees post-DOL: Cerulli report

Nearly two-thirds (64%) of broker-dealer advisers plan to shift more of their business to a fee-based model if the Department of Labor's fiduciary rule is put into effect, according to a report from Cerulli Associates.

By InvestmentNews
REGULATION, LEGAL & COMPLIANCE FEB 27, 2017
Fate of fiduciary rule rides on regulators' political savvy

Acting Securities and Exchange Commission Chairman Michael Piwowar outlines ways to help 'forgotten investor,' but fiduciary duty is conspicuously absent.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT FEB 27, 2017
5 ways to build quality financial plans amid DOL fiduciary rule uncertainty

The firms and advisers that are able to embrace the shift from a sales culture to one comprised of goals-based planning will thrive.

By Kevin Knull
PRACTICE MANAGEMENT FEB 27, 2017
DOL rule slows down wirehouse recruiting and crimps bonuses

Even though the fiduciary rule's future is in doubt, wirehouses are downsizing the bonuses they are offering veteran brokers to jump ship.

By Bloomberg
RIA NEWS FEB 26, 2017
College planning programs in need of financial aid

Schools tell firms to hand over some funds if they want to have advisers down the road.

By Liz Skinner
RETIREMENT PLANNING FEB 26, 2017
State, local auto-IRA initiatives benefit 'forgotten' workers

Automatic-enrollment IRA programs would encourage employees to save for retirement.

By crain-api
RETIREMENT PLANNING FEB 24, 2017
Demographic shift of retirees to affect consumer spending

Major demographic shifts over the next decade will have a dramatic affect on U.S. consumer spending, which in turn will influence the overall economy, specific industry sectors and individual stocks, according to a new report from The Conference Board.

By Mary Beth Franklin
RIA NEWS FEB 24, 2017
Trump rally on verge of setting a record

By Bloomberg
RETIREMENT PLANNING FEB 24, 2017
Why many employees may never be able to retire

Millions aren't saving on the job because they either don't have access to a workplace retirement plan or they do but aren't putting money in it.

By Bloomberg
PRACTICE MANAGEMENT FEB 24, 2017
Merrill Lynch cuts its top rate on fee accounts

Reduction from 2.7% to 2.2% could save smaller clients $5,000 a year.

By InvestmentNews
RETIREMENT PLANNING FEB 24, 2017
Using IRAs to reduce Medicare premiums

Directing a portion of required minimum distributions directly to a charity can reduce both taxes and Medicare premiums.

By Mary Beth Franklin
FINTECH FEB 24, 2017
Regulatory scrutiny may put firms without adviser text messaging policies at risk

An increasing emphasis on telemarketing activities is putting pressure on financial firms to protect themselves and their advisers.

By Yasmin Zarabi
REGULATION, LEGAL & COMPLIANCE FEB 24, 2017
Industry plaintiffs appeal Dallas court's decision to uphold DOL fiduciary rule

Opponents of rule seek to overturn loss in district court.

By Mark Schoeff Jr.
RIA NEWS FEB 23, 2017
Adviser loses IRS fight, putting tax status for solo practitioners in question

By Bruce Kelly
WIREHOUSES FEB 23, 2017
Breakaway UBS, Morgan Stanley teams form $750M RIA

By InvestmentNews