RIA News

Displaying 36702 results
Indexed annuity distributors weigh launching B-Ds due to DOL fiduciary rule
ADVISOR NEWS RETIREMENT PLANNING JUN 21, 2016
Indexed annuity distributors weigh launching B-Ds due to DOL fiduciary rule

The move would allow insurers to sidestep additional risk in distributing through independent agents.

By Greg Iacurci
Your retirement calculator might not be accurate
ADVISOR NEWS RETIREMENT PLANNING JUN 21, 2016
Your retirement calculator might not be accurate

Studies show publicly available retirement calculators shouldn't be taken at face value.

By Greg Iacurci
INVESTING LIFE INSURANCE AND ANNUITIES JUN 21, 2016
Millennials and life insurance — not their parents' policies

New offerings for the younger market have made the life insurance industry ripe for disruption.

By Bloomberg
ADVISOR NEWS INDEPENDENT BROKER DEALERS JUN 21, 2016
Royal Alliance lawyers capitalize on Finra's broken BrokerCheck

Plus: Soros fights Brexit with scare tactics, what the Queen thinks about the Brexit vote, the smart-beta evolution, and alternative retirement lifestyles

By Jeff Benjamin
RIAS RIA NEWS JUN 21, 2016
Northwestern Mutual survey shows majority of Americans not getting financial advice

Even among those who are, almost half say their advisers don't feel like long-term partners.

By Tanvi Acharya
DOL fiduciary rule will lead to increased spending on technology: survey
RIAS PRACTICE MANAGEMENT JUN 21, 2016
DOL fiduciary rule will lead to increased spending on technology: survey

More companies will invest in technology to help them comply with new regulation, according to a SS&C Technologies Holdings survey.

By Bloomberg
Layoffs hit Pimco, GMO as assets shrink amid flight from active management
INVESTING EQUITIES JUN 21, 2016
Layoffs hit Pimco, GMO as assets shrink amid flight from active management

The departures include top managers and the closure of some funds.

By John Waggoner
Regulators cracking down on broker-dealers for anti-money laundering violations
RIAS PRACTICE MANAGEMENT JUN 21, 2016
Regulators cracking down on broker-dealers for anti-money laundering violations

Large, medium and small firms are all on the radar of the SEC and Finra.

By Christine Idzelis
INVESTING EQUITIES JUN 20, 2016
Morningstar brings smart beta into the active-passive debate

<i>Breakfast with Benjamin</i> Morningstar reshuffles the deck in the active-passive debate, expanding the framework to fold in strategic beta.

By Jeff Benjamin
Eight ways to comply with DOL fiduciary rule
ADVISOR NEWS REGULATION AND LEGISLATION JUN 20, 2016
Eight ways to comply with DOL fiduciary rule

Labor Department's principles-based rule raising investment advice standards for retirement accounts gives firms flexibility in how to meet compliance.

By Manisha Kimmel
UBS' U.S. wealth management unit posts flat Q1 revenue but record managed account assets a bright spot
RIAS RIA NEWS JUN 20, 2016
UBS' U.S. wealth management unit posts flat Q1 revenue but record managed account assets a bright spot

Managed account assets rose 3% to a record $361 billion, CFO Kirt Gardner said on Tuesday's earnings call

By Christine Idzelis
ADVISOR NEWS FINTECH JUN 19, 2016
Women-focused robo-adviser SheCapital shuts down

Not enough investors signed up for the niche platform that started about a year ago.

By Alessandra Malito
ADVISOR NEWS RETIREMENT PLANNING JUN 19, 2016
Skeptical advisers should reexamine their attitudes toward reverse mortgages

Most of the loans' issues have been solved, or at least ameliorated.

By InvestmentNews
RIAS PRACTICE MANAGEMENT JUN 19, 2016
Recognize what makes female clients different

Women's financial concerns and goals vary widely, depending on factors such as age, professional standing and marital status.

By Liz Skinner
Vanguard's Bill McNabb says firm prepared to cut fees further as low returns loom
RIAS RIA NEWS JUN 17, 2016
Vanguard's Bill McNabb says firm prepared to cut fees further as low returns loom

Impact of expenses growing in current climate, CEO says.

By Bloomberg
All eyes on alternative funds at Morningstar Investment Conference
INVESTING MUTUAL FUNDS JUN 17, 2016
All eyes on alternative funds at Morningstar Investment Conference

Everyone from BlackRock to Vanguard in the alt space

By John Waggoner
Mutual fund investors continue to suffer from buying high, selling low: Morningstar
RIAS RIA NEWS JUN 17, 2016
Mutual fund investors continue to suffer from buying high, selling low: Morningstar

Investors typically lose when trying to time the market. But some experts like <a href="//www.investmentnews.com/article/20160614/FREE/160619961/aqrs-asness-research-affiliates-arnott-agree-that-a-little-market" target="_blank" rel="noopener noreferrer">AQR's Cliff Asness and Rob Arnott of Research Affiliates say a little market timing may not be so bad</a>.

By Jeff Benjamin
John Oliver lambasts U.S. retirement savings system, supports DOL fiduciary rule
ADVISOR NEWS RETIREMENT PLANNING JUN 17, 2016
John Oliver lambasts U.S. retirement savings system, supports DOL fiduciary rule

The star of a late-night HBO comedy show had some biting words for non-fiduciary brokers, high 401(k) fees and active fund management.

By Greg Iacurci
Fiduciary duty finally hits mainstream — and Main Street
ADVISOR NEWS REGULATION AND LEGISLATION JUN 17, 2016
Fiduciary duty finally hits mainstream — and Main Street

The battle over the DOL rule is now moving into the court of public opinion. <i><b>Plus: <a href="//www.investmentnews.com/article/20160613/FREE/160619978/john-oliver-lambasts-u-s-retirement-savings-system-supports-dol&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Advisers react to comedian John Oliver's biting takedown of brokers and America's retirement system</a>.</b></i>

By Mark Schoeff Jr.
Former star LPL broker who was fired seeking $30M in arbitration claim
RIAS RIA NEWS JUN 17, 2016
Former star LPL broker who was fired seeking $30M in arbitration claim

James 'Jeb' Bashaw charges broker-dealer trumped up charges to steal his lucrative practice in Houston.

By Bruce Kelly