Results for "registered investment advisers (RIA)"

Displaying 2,536 results

Sort: Date | Relevance

Author:

Tax tips: Greater returns and asset consolidation

November 29, 2010

It's that time of year when you are talking to clients about taxes. And if you are like the advisors we talk to, those discussions center around how to minimize taxes in this year by harvesting losses now. And while the conversation likely centers...

Being distant No. 2 in custody biz doesn't faze Fidelity's Mike Durbin

November 28, 2010

Mike Durbin, president of Fidelity Institutional Wealth Services, has his work cut out for him. He is chasing the No. 1 firm in the industry, The Charles Schwab Corp., which has about $605 billion under custody for advisers. Fidelity has $450...

An AMT fix is needed ASAP

November 28, 2010

The debates in Congress about whether to extend the Bush-era tax cuts and unemployment benefits, and about the DREAM Act, which would give children of illegal immigrants a path to citizenship, have delayed action on another tax measure that...

New Finra rule could cause headaches for hybrid advisers

November 28, 2010

A new Finra rule could put a crimp in the business of brokers who run outside investment advisory and insurance businesses. Some observers worry that the rule, due to go into effect next month, expands the Financial Industry Regulatory Authority...

Put 12(b)-1 reform on the front burner

November 28, 2010

The SEC should move with haste to revamp 12(b)-1 fees. As reported in the Nov. 15 issue, it may be several months — if not more than a year — before the Securities and Exchange Commission reissues a proposal aimed at making clear how much...

What's the world's richest man buying? BlackRock

November 23, 2010

Carlos Slim, the world's richest man according to Forbes magazine, has acquired shares of BlackRock Inc., the world's biggest money manager, expanding his U.S. holdings. Arturo Elias, Slim's spokesman, said yesterday in a telephone interview...

Advisers give thanks to clients, not Washington

November 21, 2010

Financial advisers are a grateful tribe, and one thing they all agree on as the nation counts down to Thanksgiving is that clients rank high on their list of blessings. “More than anything, I am thankful that over the last couple years, our...

Succession-planning malpractice

November 21, 2010

About two years ago, I wrote about an adviser who died without a succession plan, wreaking havoc on his clients, his business and his family. Rob, who provided my parents with solid financial planning for more than 20 years, died of cancer at...

VA market share batttle pits Goliaths vs. Goliaths

November 21, 2010

Though the top three sellers of variable annuities extended their grip on the U.S. market through the first nine months of 2010, smaller-share players have become more aggressive in order to compete. The battle will be tough. The three VA leaders...

Fidelity targeting ‘top 200' wirehouse teams, exec says

November 19, 2010

As Fidelity continues to focus on luring breakaway brokers, a top executive at the firm noted specifically that the company is zeroing in on the very top-producing teams at wirehouses. “We haven't made deep inroads into the top 200 teams"...

SEC sorts out definition of venture capital

November 19, 2010

Although advisers to venture capital funds are exempt from registering with the Securities and Exchange Commission under the new financial reform law, determining the definition of venture capital could generate controversy. In an attempt to...

A headhunter's dinner with three unhappy advisers, Part 3

November 18, 2010

Of the three buddies (Wirehouse Adviser, Regional Firm Broker, Boutique Adviser) who are sitting with me this night for dinner, only one of the them is still at the same firm that they all started with together fifteen years ago: Wirehouse Adviser:...

LPL's coming out party - LPL rings the bell on first day of trading

November 18, 2010

Shares of LPL Investment Holdings Inc. gained 7.2% in their first day of trading today. After years of anticipation, LPL last night announced the initial public offering of 15,657,482 shares of its common stock —and was officially listed this...

Bank of America settles sex suit with Merrill broker

November 17, 2010

Bank of America Corp. settled a lawsuit filed by a broker who claimed the bank’s Merrill Lynch & Co. unit discriminates against women through its partnership model. Jamie Goodman, a broker who worked at Merrill since 1992, sued last year in...

The 5 fund families with the largest outflows this year - 5. Legg Mason/Western Asset Management

November 17, 2010

2010 estimated net outflows: $3.7 billion* Total U.S open-end fund assets under management: $63.5 billion* Source: Morningstar *Estimated data as of 10/31/2010 and does not include ETFs, funds-of-funds or money market funds

Why registering with states early may be a mistake for RIAs

November 14, 2010

Financial advisers who live by the maxim “the early bird catches the worm” might want to think twice before getting a head start on making the switch to state registration. Next summer, some 4,200 registered investment advisers will be required...

New regs forcing '401(k) dabblers' out of market: Expert

November 14, 2010

Tougher regulation in the 401(k) marketplace is driving “dabblers” out of the plan advisory business, according to an industry executive. “The 401(k) dabblers — the light advisers — they're doing less 401(k) business than they used...

It is time to win back investors' trust

November 14, 2010

To say that financial advisers face an uphill battle in regaining the trust and confidence of the investing public is a serious understatement. Not since the Great Depression or the period of stagflation in the early 1970s has an economic recovery...

More advisers try hand at running mutual funds

November 14, 2010

Financial advisers who believe they have developed a novel investing approach, or don't want to turn away smaller clients, increasingly are launching their own mutual funds. “This year alone, we have registered 30 new funds [and] expect 10...

Fed has awakened bond vigilantes who fear inflation

November 14, 2010

On October 29, the bond vigilantes, after being in hibernation for many years, suddenly awoke and fired a warning shot at the Federal Reserve, the stock market and millions of other investors. All would be well-advised to pay attention, especially...

« Previous PageNext Page »

1 ... 118 | 119 | 120 | 121 | 122 | 123 | 124 | 125 | 126 | 127

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.