RIA News

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Time to talk about financial wellness
ADVISOR NEWS RETIREMENT PLANNING JUN 05, 2016
Time to talk about financial wellness

Financial wellness is one of the hottest topics in the retirement industry today and at top of mind for many plan sponsors.

By David Eikenberg
ADVISOR NEWS RETIREMENT PLANNING JUN 05, 2016
Make clients aware of filial laws that could wreak havoc on the financial security of millions

Encourage clients to think ahead about how much financial responsibility they're willing to assume for their aging parents.

By MFXFeeder
Investors need to get smarter about their money post-DOL fiduciary rule: panel
ADVISOR NEWS REGULATION AND LEGISLATION JUN 03, 2016
Investors need to get smarter about their money post-DOL fiduciary rule: panel

By Alessandra Malito
Megacaps now S&P 500's curse as smart beta gets payback
INVESTING MUTUAL FUNDS JUN 03, 2016
Megacaps now S&P 500's curse as smart beta gets payback

Equal-weighted index beats S&P 500 by most in three years.

By Bloomberg
Fidelity 401(k) lawsuit could up ante for plan advisers
ADVISOR NEWS RETIREMENT PLANNING JUN 03, 2016
Fidelity 401(k) lawsuit could up ante for plan advisers

Advisers need to scrutinize any sort of markup on a platform they're recommending, making sure it is reasonable.

By Greg Iacurci
ADVISOR NEWS RETIREMENT PLANNING JUN 03, 2016
Serving as trustee could put you at risk

When things go awry among family members or with the assets held in trust, trustees can get sued

By Michael J. Gill, Richard Campbell and Kathleen M. Przywara
Perez, Norquist and others react to anti-DOL fiduciary rule lawsuit
ADVISOR NEWS REGULATION AND LEGISLATION JUN 03, 2016
Perez, Norquist and others react to anti-DOL fiduciary rule lawsuit

Groups for and against the rule sound off on the latest development in the DOL's attempt to create a fiduciary standard for retirement advice.

By Tanvi Acharya
American Funds' platform puts target-date funds under a microscope
INVESTING EQUITIES JUN 03, 2016
American Funds' platform puts target-date funds under a microscope

Fund giant offering financial advisers a tool for evaluating the funds that adheres to the 2013 guidance from the Department of Labor.

By Jeff Benjamin
Stock sellers got burned in May but volatility set to return in June
INVESTING EQUITIES JUN 03, 2016
Stock sellers got burned in May but volatility set to return in June

June has been a good month to do something besides invest in the stock market.

By John Waggoner
Finra fines Raymond James a record $17 million for failures in anti-money laundering program
RIAS PRACTICE MANAGEMENT JUN 03, 2016
Finra fines Raymond James a record $17 million for failures in anti-money laundering program

The penalty is the regulator's largest ever relating to anti-money laundering compliance.

By Christine Idzelis
Charles Schwab to cut its version of Salesforce in July
ADVISOR NEWS FINTECH JUN 03, 2016
Charles Schwab to cut its version of Salesforce in July

The custodian cites too many tech options as the reason to end its dashboard partnership.

By Alessandra Malito
Nine groups file lawsuit to strike down 'capricious' DOL fiduciary rule
ADVISOR NEWS REGULATION AND LEGISLATION JUN 02, 2016
Nine groups file lawsuit to strike down 'capricious' DOL fiduciary rule

The U.S. Chamber of Commerce, SIFMA, FSI, IRI, the Financial Services Roundtable and several Texas business groups joined a lawsuit to block the Labor Department's landmark fiduciary regulation. <b><i>(Related read: <a href=&quot;http://www.investmentnews.com/section/fiduciary-focus&quot; target=&quot;_blank&quot;>The DOL fiduciary rule from all angles</a>)</i></b>

By Greg Iacurci
ADVISOR NEWS RETIREMENT PLANNING JUN 02, 2016
Plan to keep working into your 70s? You're not alone

More Americans with jobs say they plan on being septuagenarian employees, but working longer has its drawbacks.

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING JUN 02, 2016
How credit access affects your job search

The more access to credit unemployed people have, the choosier they are about the jobs they take. But is that a good thing?

By Bloomberg
Jamie Dimon says JPMorgan can offer free robo-advice to best clients
RIAS RIA NEWS JUN 02, 2016
Jamie Dimon says JPMorgan can offer free robo-advice to best clients

No-cost brokerage trades also an option for bundle of products.

By Bloomberg
Digital advice is poised to become the apple of asset managers' eyes
ADVISOR NEWS FINTECH JUN 02, 2016
Digital advice is poised to become the apple of asset managers' eyes

DOL's rule accelerates an opportunity for these firms to wrap products into advice-driven online platforms.

By Alessandra Malito
Lawsuit against DOL fiduciary rule could delay implementation indefinitely
ADVISOR NEWS REGULATION AND LEGISLATION JUN 02, 2016
Lawsuit against DOL fiduciary rule could delay implementation indefinitely

The lawsuit may push the rule to the next presidential administration, which could ultimately kill the rule.

By Peter Chepucavage
INVESTING EQUITIES JUN 01, 2016
Today's jobs report might disappoint, but it won't likely move the Fed

Plus: Don't make these mistakes with closed-end funds, the sleeping risks in auto loans, and when leaving at 7 p.m. on Friday is perk

By Jeff Benjamin
Lynn Tilton's challenge to SEC hearings rejected by appeals court
ADVISOR NEWS REGULATION AND LEGISLATION JUN 01, 2016
Lynn Tilton's challenge to SEC hearings rejected by appeals court

Fund manager sued last year over allegedly mismarking loans.

By Bloomberg
DoubleLine's Jeff Gundlach names deputy CIO as assets reach $100 billion
INVESTING MUTUAL FUNDS JUN 01, 2016
DoubleLine's Jeff Gundlach names deputy CIO as assets reach $100 billion

By Bloomberg