Results for "registered investment advisers (RIA)"

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Wells Fargo shakes up wealth management

May 10, 2011

Wells Fargo & Co. has cut the number of regional managers — and regions covered — in its wealth management division to better integrate the investment advisory business it inherited from Wachovia Corp. At the end of 2008, Wells Fargo acquired...

Where the world’s wealthiest clients are — and will be

May 9, 2011

The cumulative wealth of the world’s richest households will more than double, to $202 trillion over the next ten years, according to a study conducted by the Deloitte Center for Financial Services and Oxford Economics. Based on data from...

More investors now think VAs are OK - but fees still a drag

May 8, 2011

Variable annuities, which combine mutual-fund-like investing with income or other guarantees, are as controversial as ever — but investors increasingly are considering purchasing them, financial advisers say. “Every [variable annuity] product...

Fed fiddles while inflation starts to simmer

May 8, 2011

What do Ben S. Bernanke and his fellow Federal Reserve monetary policymakers not see? In its April 28 statement, the Federal Open Market Committee played down fears of inflation. “Commodity prices have risen significantly since last summer,...

Pre-retirees a great niche – but advisers aren't scratching

May 8, 2011

Financial advisers who want to develop retirement-planning expertise need to bone up on topics that are top-of-mind with the pre-retiree set. They also might want to invest in a new set of business cards. Those are a few of the ideas shared...

Fidelity snags LPL exec to run family office program

May 6, 2011

Fidelity Investments has hired Trevor A. Norton to head its ultrahigh-net-worth program for RIAs. Launched in October 2010, the program gives advisers who custody at Fidelity Institutional Wealth Services access to the firm's family office offerings....

Using psychology to combat clients' penchant for money mistakes

May 3, 2011

Behavioral-finance experts have come up with a few strategies for financial advisers working to help clients overcome natural human tendencies that can lead to money-related mistakes. First, the “herd” mentality that causes clients to sell...

Wallflowers no more, investors demand more alternative strategies

May 3, 2011

The search for new sources of retirement income and exposure to investments that don't correlate with traditional asset classes has brought about new product innovations — many of them sparked by individual investors wanting to invest like...

IRAs going under the microscope ─ are advisers prepared?

May 3, 2011

Jamey Delaplane, partner at law firm Davis & Harman LLP, warned advisers in attendance at the InvestmentNews Retirement Income Summit that IRAs are likely to come under increased regulatory scrutiny.

The class of asset classes? It's not even close these days

May 2, 2011

Commodities beat stocks, bonds and the dollar for a fifth straight month, the longest stretch in at least 14 years, as demand for raw materials increases with expanding economies and Federal Reserve promises to boost growth. The Standard & Poor's...

Much-anticipated site for investors good news/bad news for advisers

May 1, 2011

BrightScope Inc. has launched a free online service that will allow investors to look up financial advisers. And for a fee, financial advisers will be able to add their own narrative — thus providing a new opportunity to market themselves....

Tougher 401(k) rules seen as 'full employment act' for RIAs

May 1, 2011

As the Labor Department prepares to issue stricter rules for the retirement fund industry, financial advisers at RIA firms are licking their chops over the prospect of poaching business from broker-dealers and insurance agents. One of the beefed-up...

Insurance industry must get its act together

May 1, 2011

If it wants to avoid potentially onerous new regulations and a slew of negative headlines, the life insurance industry must band together immediately and establish universally accepted guidelines for identifying deceased policyholders and disbursing...

The future? Gen X DIY investors trounced advisers in 2010

April 28, 2011

Well-off Generation X investors are unhappy with their investment advisers — and it's hard to blame them. The group scored much better investment results on their own than with an adviser last year, according to Cogent Research, which released...

Rising star in wealth management? Wells Fargo crew hitches wagon to U.S. Bancorp

April 28, 2011

U.S. Bancorp, the fifth-largest U.S. lender by deposits, said its wealth-management group is establishing a program to help ultra-high-net-worth clients build legacies and control the impact of money on their families. The initiative, called...

Obama puts money where his mouth is on tax return

April 26, 2011

The president's policy goals are reflected in his personal money management, according to an expert who reviewed the tax returns the country's chief executive made public after paying his family's annual bill to the government he runs. In what...

Tax planning: Clients don't ask, advisers don't tell

April 25, 2011

If you saved your clients a bundle on their taxes last year, you should start telling them about it, said Kevin Crowe, solutions unit leader for SEI. SEI, which provides an operating platform for independent financial advisers, regularly polls...

First Clearing's trust service attracts custodian

April 24, 2011

The custodial firm TradePMR Inc. has signed on with First Clearing LLC. The conversion to First Clearing from TradePMR's current clearing firm, Sterne Agee Clearing, will be completed by August, according to Robb Baldwin, chief executive of...

To build assets, think rollovers

April 24, 2011

The key to winning a bigger wallet share of retirement assets from affluent investors is as simple as building up expertise at winning client rollovers into IRAs and other retirement fund transfers. At least that's what the Bank of New York...

ETFs can present pricing problems

April 24, 2011

When Tom Lydon switched from working solely with mutual funds to using exchange-traded funds in 2000, he quickly realized that it was a whole new ballgame. Previously, Mr. Lydon, a registered investment adviser and president of Global Trends...

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