Results for "registered investment advisers (RIA)"

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GOP now talking taxes, but Dems say they're talking through their hats

November 9, 2011

Democrats criticized a Republican plan to cut the U.S. deficit by overhauling the tax code as a windfall for the wealthy even as the plan signaled a new willingness by Republicans to include tax revenue in any agreement to slash the deficit....

Focus Financial in the zone – does yet another deal

November 8, 2011

Sapient Private Wealth Management, a fee-based investment adviser based in Eugene, Ore., has joined Focus Financial Partners LLC, marking the eighth transaction completed by Focus this year. Sapient has emerged as one of the best RIAs in the...

What the Kansas City incident should teach Finra

November 6, 2011

Let's hope that Finra has learned a lesson from the public flogging it received after it was reported that a regional official allegedly doctored the minutes of internal staff meetings that were then turned over to SEC examiners. The Securities...

Valuations up as RIA deals near record

November 6, 2011

United Capital Financial Advisers LLC's purchase of Peak Capital Investment Services LLC last week is a sign of the times. Despite the volatile markets, mergers-and-acquisitions activity among registered investment advisers continues to be strong...

INsider: 'Death spiral' awaits if muni tax break erased

November 4, 2011

Never underestimate the ability of Washington lawmakers to think in the shortest possible terms. The latest example comes from the congressional supercommittee, which is said to be considering dumping the tax exemption for municipal bonds, a...

Talk with Chuck produces intriguing responses

November 3, 2011

Charles Schwab, founder of the Charles Schwab Co., addressed the more than 2000 financial advisers attending the annual Schwab Impact conference in San Francisco this morning. The iconic business leader remarked how different this year's conference...

Valuations plumping up as RIA deals approach record

November 3, 2011

United Capital Financial Advisers LLC's purchase of Peak Capital Investment Services LLC yesterday is a sign of the times. Despite the volatile markets, mergers-and-acquisitions activity in the registered investment adviser space continues to...

State crackdown could be the death of some universal life policies

November 3, 2011

State regulators have signaled a push for recalculating reserve requirements on a certain type of universal life insurance — which could lead to higher costs for policyholders as well as fewer carriers' selling the product. A group of state...

United Capital to acquire $600M Peak Capital

November 2, 2011

United Capital Financial Advisers will acquire the assets of Peak Capital Investment Services – an advisory firm with $600 million in assets under management – executives revealed at the Schwab Impact Conference here in San Francisco today....

Financial planning registers worldwide growth

October 31, 2011

Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners. A survey by the Financial Planning Standards Board, which awards certified financial planner designations...

Top RIAs on the wealth business: What lies ahead

October 31, 2011

Evercore Wealth Management's Charles Ryan talks about his firm's recent growth an expansion -- and what lies ahead for the rest of 2011 and 2012. For more INTV with top RIAs, click here.

Personal Capital ventures into online-advice arena

October 30, 2011

With Americans practically addicted to the Internet, a web-based investment advisory business would seem to be an idea whose time has come. The founders of Personal Capital Corp. certainly hope so. Bill Harris, the former chief executive of...

Vigilant compliance must be grounded by ethics

October 30, 2011

The following is an edited version of an Oct. 17 speech by Carlo V. di Florio, director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, at the annual meeting of the National Society of Compliance...

A bipartisan jobs plan is the top priority

October 30, 2011

It is time our elected leaders and presidential wannabes treat America's jobs crisis as the social and economic catastrophe that it is, and not just as fodder for 2012 campaigns. Given the partisan warfare on Capitol Hill, it isn't surprising...

INcite: Want to create jobs? First cut capital gains taxes

October 27, 2011

Along with jobs, raising taxes on the rich is one of things the Wall Street protesters feel strongly about, as Andrew Cuomo, the Democratic governor of New York, is learning all too well. Cuomo has become a target for activists because he's...

RIA 3Q M&A activity strong, Pershing report shows

October 27, 2011

More big registered investment advisory firms were in play in the third quarter, and private-equity buyers returned to the marketplace and participated in three significant deals, according to a new report from Pershing LLC. And private-equity...

Study will recommend that accountants examine advisers

October 27, 2011

A study by a Georgetown University professor about advice industry regulation will suggest that accountants or another third party be put in charge of financial adviser examinations, according to Tom Bradley, president of TD Ameritrade Institutional,...

Mass affluent are waiting for your text: Fidelity

October 24, 2011

Financial advisers are bumping into one another trying to win new accounts among affluent investors, but they can add some profitable business from less obvious market segments — one of which is investors who have never had a financial adviser....

The cost of a fatter America

October 23, 2011

As Americans continue to pack on pounds, advisers need to brace their clients — and themselves — for the looming societal costs associated with this seemingly individual problem. America's weight problem is as much a financial crisis as...

Fiduciary standard is an RIA's best friend

October 23, 2011

Every time the debate over the fiduciary standard of client care hits the news, RIAs pick up a few more clients. Registered investment advisory firms surveyed by TD Ameritrade Inc. certainly think so. Of 502 RIAs surveyed in August about business...

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