Results for "registered investment advisers (RIA)"

Displaying 2,998 results

Sort: Date | Relevance

Author:

AssetMark IPO seen as boon for financial services

July 18, 2019

The initial public stock offering by AssetMark Financial Holdings (AMK) is being described by market watchers as well-executed success that will pave the way for other financial service industry companies to access the public equity markets....

How do advisers estimate a client's longevity?

July 18, 2019

Estimating how long a client will live is an inherently challenging, yet critical task for financial advisers. Lifespan is at the heart of every financial plan, and a misstep could mean the difference between clients' financial security and...

Wells Fargo adviser managing $500 million moves to RIA firm

July 16, 2019

Michelle Rudd, who managed $500 million in assets at Wells Fargo in Seattle, has joined Summit Trail Advisors and opened an office there for the RIA firm, which manages $5.5 billion. She joins the firm as a partner. (More:​ See more adviser...

National Holdings facing lawsuit for allegedly retaliating against whistleblower

July 16, 2019

A fired chief compliance officer is suing National Holdings Corp., claiming her 16-year career with the brokerage firm was terminated when she started investigating alleged insider trading by executives of the firm. A lawsuit filed last week...

Advisers scramble to help retirees navigate looming Fed rate cut

July 15, 2019

For the first time in more than a decade, financial advisers are having to prepare client portfolios for an interest rate cut by the Federal Reserve, and the general consensus of advice is to try and not panic. "Stay away from bank-loan bonds...

Adviser compensation is the challenge with fee-based annuities

July 15, 2019

Fee-based annuities are becoming more popular, but there's a thorny issue that could limit their uptake and negatively affect clients: the question of how an adviser is paid to help manage the annuity. Fee-based annuities are products meant...

Cybersecurity still a top concern among RIA compliance execs

July 15, 2019

For the sixth year in a row, cybersecurity remains the biggest compliance concern at registered investment adviser firms, according to a survey of 369 RIA firms by the Investment Adviser Association and ACA Compliance Group. Cybersecurity is...

Schwab subscription planning service draws $1 billion in new assets

July 11, 2019

Schwab's subscription-based hybrid robo-adviser has attracted more than $1 billion in new assets since its launch at the end of March, the company said. Schwab Intelligent Portfolios Premium, which includes unlimited guidance from a certified...

Hub in talks to buy $40 billion LPL branch Global Retirement Partners

July 11, 2019

Insurance brokerage Hub International is in talks to buy Global Retirement Partners, the largest retirement-focused branch of LPL Financial with $40.1 billion in assets, according to two sources with knowledge of the discussions. GRP, a registered...

Surging demand turns solar panels into the hottest summer investment

July 10, 2019

Investments in solar energy have been shining brightly this year, and it's not just the summer heat wave that's pushing these stocks and funds to double- and triple-digit gains. The 56.6% surge from the start of the year in the $390 million...

SEC's Blass rebuts assertion Reg BI is tougher than fiduciary standard

July 10, 2019

Even before the Securities and Exchange Commission approved new investment advice reform rules in June, there was debate about whether the broker requirement would be tougher than the standard for investment advisers. One of the authors of the...

EP Wealth acquires Pathlight Investors

July 10, 2019

EP Wealth Advisors, a Torrance, Calif.-based RIA managing approximately $4.4 billion in assets, has acquired Phoenix, Ariz.-based Pathlight Investors, which manages $283 million in assets. Pathlight, founded in 2009, is led by its co-founders,...

Piper Jaffray buying Sandler O'Neill for $485 million

July 9, 2019

Piper Jaffray Co. said Tuesday morning that it was buying Sandler O'Neill + Partners, a leading investment bank for the financial services industry, for $485 million in cash and stock. The combined firm will be named Piper Sandler Cos. The deal...

Embracing the highs and lows of cannabis investing

July 9, 2019

When it comes to investing risks and opportunities, there is currently nothing quite like cannabis. While its recreational use is still illegal at the federal level, the momentum behind a push to regulate marijuana alongside alcohol is unmistakable....

SEC head defends Reg BI, but only succeeds in igniting more criticism

July 9, 2019

Securities and Exchange Commission Chairman Jay Clayton took on critics of the agency's recently approved investment advice reform package in a lengthy defense Monday, but his remarks didn't calm the fierce debate. In a speech Monday in Boston...

Independence means different things to different people in wealth management

July 8, 2019

With the July 4 holiday fresh in our minds, it strikes me that the word "independence" by itself no longer accurately describes the phenomenon that is changing the wealth management industry today. Back in the 1980s and 1990s, it seemed that...

A higher standard of client care

July 8, 2019

The financial services profession is about more than just numbers. It's about helping people navigate life's complexities. Financial advisers serve an important role as their clients prepare for milestones. So it's no surprise that the client-adviser...

Morningstar emphasizes fees, performance in upgrade of fund ratings

July 8, 2019

In the latest iteration of its forward-looking analysts' ratings,​ Morningstar Inc. is placing more emphasis on fees and raising the bar for actively managed funds, which will be required to beat both their benchmark and their peer group to...

Crypto broker logjam may be swept away by regulatory guidance

July 8, 2019

U.S. regulators potentially cleared the way for dozens of firms to become registered cryptocurrency brokers by issuing guidance on how securities rules apply to some of the complicated compliance issues posed by digital tokens. Crypto brokers...

RIA acquisitions on record pace, despite sometimes volatile markets

July 8, 2019

The pace of consolidation in the registered investment advisory space hit a record in the second quarter and puts the industry on pace for its seventh-straight recording-setting year, according to consulting firm Echelon Partners. The 52 RIA...

« Previous PageNext Page »

1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 ... 150

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.