Results for "registered investment advisers (RIA)"

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CFP Board must not go soft on bankruptcy

January 29, 2012

GIVEN THAT IT PURPORTS in its mission statement to “benefit the public by granting the CFP certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning,” we are confounded...

Oros bolts TCA to head up RIA sales for Fidelity

January 27, 2012

Fidelity Institutional Wealth Services has hired industry veteran Bob Oros as executive vice president of RIA sales and relationship management. He will start his new job Monday, according to Fidelity spokesman Steve Austin. As head of RIA sales...

Plan advisers want cost info first when talking to wholesalers

January 26, 2012

For fund wholesalers, courting the retirement plan adviser will require a whole new set of skills and pitches that differ vastly from what they bring to discuss retail products. Financial advisers who concentrate on the defined-contribution...

RIA deals MIA in second half of 2011

January 25, 2012

Merger and acquisitions by registered investment advisory firms plummeted in 2011, driven down by market volatility and an uncertain economy. According to Schwab Advisor Services, a unit of The Charles Schwab Corp., there were 57 M&A deals involving...

$2.5B Greystone adviser jumps to HighTower

January 24, 2012

HighTower Advisors LLC made a splash yesterday with the announcement of its first adviser signing of the new year. James Pupillo, an adviser with Greystone Consulting Group, a division of Morgan Stanley Smith Barney LLC, joined HighTower as...

Behringer Harvard client wants answers after seeing fund drop by 96%

January 24, 2012

It's more bad news for Behringer Harvard Holdings LLC, as an investor who saw the value of her real estate fund drop to $2,000, from an original investment of $50,000, has begun to complain to regulators. On Friday, D. Gayle Salyer fired a letter...

Massachusetts lays out social media do's, don'ts

January 22, 2012

Massachusetts securities regulators last week outlined social-media guidelines for its 576 registered investment advisers, stressing record keeping, monitoring and periodic review of how financial advisers are using sites such as Facebook, LinkedIn...

Don't change rules because of deadbeat brokers

January 22, 2012

While brokerage firms have every right to expect former brokers to honor the agreements they make when accepting recruiting and retention bonuses, Finra should resist pressure to rewrite its rules to make it easier for firms to collect unreturned...

Former E*Trade CEO leads management buyout of Jefferson

January 22, 2012

Jefferson National, creator of the flat-fee variable annuity, hopes to step up its distribution among fee-based advisers following a management buyout. Financial Partners Fund, a unit of Citi Capital Advisors, The Stephens Group LLC and Goldman...

Maryland, California governors seek boost in taxes on wealthy

January 20, 2012

It isn't just Uncle Sam looking to collect more from the nation's wealthy households. At least two states are getting in on the act. Maryland Gov. Martin O'Malley, a Democrat, proposed this week to increase tax revenue from high wage earners...

Mayor of N.Y. Giants' hometown rooting against the team

January 20, 2012

James Cassella says he wants the New York Giants to win their National Football League conference championship game against the San Francisco 49ers and then lose a fight against paying property taxes on their training center. The mayor of East...

Most advisers overstating their expertise: Cerulli study

January 19, 2012

When pressed, it seems financial intermediaries will tend to overstate their qualifications and services, according to Cerulli Associates Inc. “Most advisers don't want to say that they don't offer some kind of service, so they are more likely...

Santorum's tax plan would add $1.3T to deficit, study finds

January 19, 2012

Republican presidential candidate Rick Santorum's plan to cut taxes for many individuals and corporations would expand the U.S. budget deficit by $1.3 trillion in 2015, an analysis released yesterday found. The study by the nonpartisan Tax Policy...

Romney's tax revelation draws plenty of fire

January 18, 2012

Mitt Romney estimated he pays an effective tax rate close to 15 percent and said he would release more details in April if he clinches the Republican presidential nomination, as his rivals crisscrossed South Carolina working to prevent that...

Mitt Romney's income no ordinary income

January 18, 2012

Under pressure from his Republican opponents, former Massachusetts Governor Mitt Romney yesterday abandoned months of resistance and said he would make his 2011 tax return public in April. The hesitation to disclose is understandable given that...

How RIAs are using interns

January 16, 2012

In recent weeks, since InvestmentNews announced the launch of our Next Generation initiative, I have had a number of conversations about internships and how different types of advisory firms and brokerages actually use interns. Some common questions:...

A call for responsible social-media usage

January 15, 2012

BE WARNED: FINRA'S RECENT capitulation over proposed reporting requirements for social-media postings shouldn't be interpreted as a sign that the self-regulator is throwing open the social-networking floodgates for broker-dealers and their representatives....

Experts not queueing up for Suze Orman's new debit card

January 13, 2012

The latest financial wisdom that former broker Suze Orman is blitzing about is a prepaid debit card with her name on it. “You can bank on it,” she says. The personal finance celebrity created the Approved Card, which is issued by The Bancorp...

Americans welcome back leverage when credit is cheap enough

January 10, 2012

Americans are back in the borrowing mood, and even the wealthy are getting in on it when the credit is cheap enough, according to advisers. U.S. households in November borrowed $2.48 trillion through credit card purchases, car loans and other...

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