Results for "registered investment advisers (RIA)"

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BlackRock white-hot as quarterly profits soar

July 20, 2011

BlackRock Inc., the world's biggest money manager, said second-quarter profit increased 43 percent as fees climbed along with the assets it oversees for investors. Net income increased to $619 million, or $3.21 a share, from $432 million, or...

Workers more likely to retire after strong market performance

July 19, 2011

Workers are more likely to retire after a period of strong equity returns, but they may be leaving the workplace at a time when their nest eggs are at the most risk. A study performed by the University of Missouri and sponsored by Prudential...

D.C. war has an unintended consequence

July 17, 2011

As the Dodd-Frank Wall Street Reform and Consumer Protection Act approaches its one-year anniversary, Washington's highly charged partisan response to the law may give rise to an unintended consequence: a brain drain at our financial regulators....

Schwab franchise plan could be a hard sell

July 17, 2011

As The Charles Schwab Corp. officially begins promoting its new Independent Branch Services franchise program, observers wonder how the firm will pull off the ambitious plan to expand its footprint with independent contractors. The company is...

Schwab franchise plan could be a hard sell

July 15, 2011

As The Charles Schwab Corp. officially begins promoting its new Independent Branch Services franchise program, observers wonder how the firm will pull off the ambitious plan to expand its footprint with independent contractors. The company is...

Troubles aplenty, but Bank of America still largest wealth manager

July 14, 2011

Bank of America Corp. still heads a ranking of the world's 20 biggest wealth managers while BNP Paribas SA climbed two positions to ninth place, according to Scorpio Partnership. Morgan Stanley was second, followed by Zurich-based UBS AG, which...

RIAs' revenue, AUM hit all-time highs in 2010

July 10, 2011

Revenue and assets under management reached record highs for independent registered investment advisers in 2010. Profits rebounded as well. According to a study by The Charles Schwab Corp., the median firm among 820 RIA respondents ended the...

When is enough enough?

July 10, 2011

NOT CONTENT WITH providing outrageous perks such as free use of the corporate jet fleet for flights to golf or skiing resorts, boards of the largest companies last year gave their chief executives large pay increases, too. According to a study...

Gross' Total Return ETF to charge hiked fee

July 7, 2011

Pacific Investment Management Co.'s first active exchange-traded fund to be run by Bill Gross will charge annual fees of 0.55 percent, as the firm seeks to expand in the fastest-growing industry segment. Pimco disclosed the cost for the Pimco...

J.P. Morgan to manage investments, distribute N.Y.'s adviser-sold 529 plan

July 6, 2011

J.P. Morgan Asset Management will become the new investment manager for New York's $1.9 billion adviser-sold college savings plan, replacing Columbia Management Group LLC. The unit of JPMorgan Chase & Co. won a seven-year deal as investment...

Revenue for average RIA firm hits all-time high in 2010

July 5, 2011

Revenue and assets under management reached a record high for independent registered investment advisers in 2010. Profits rebounded as well. According to a study by The Charles Schwab Corp, the median firm in the survey of 820 RIA outfits ended...

GAO pans financial literacy programs

June 28, 2011

Creating a federal certification process for financial literacy programs would be challenging, could boost costs and may not improve America's money skills anyway, a new government report concludes. A Government Accountability Office review...

Bold denies Mutual Fund Store up for sale, but sources say deal in the works

June 28, 2011

The Mutual Fund Store, one of the largest registered investment advisory firms in the country, is up for sale, according to two sources familiar with the matter. JPMorgan Chase & Co. is said to be shopping the firm, which has $6.4 billion in...

Clients won't care if you don't

June 26, 2011

Surprise, surprise: 85% of full-service investment firms' clients have never heard of, nor do they understand, the difference between the suitability standard followed by brokers and the fiduciary standard followed by registered investment advisers,...

'Switch' deadlines still could be in flux

June 26, 2011

The SEC's action last week in setting new deadlines for midsize financial advisers' switch to state registration should assuage many about the lack of a clear timetable. But some observers still are anticipating yet more delays and uncertainty...

Private funds to get public scrutiny — but family offices to get a pass

June 23, 2011

The U.S. Securities and Exchange Commission will require private-fund advisers to register with the agency, opening hedge funds and private-equity funds to unprecedented scrutiny. SEC commissioners voted 3-2 today to approve a Dodd-Frank Act...

Most wealth management CEOs see clients unsatisfied: PwC

June 21, 2011

A majority of global wealth-management executives said their clients aren't satisfied as firms face low revenue growth and new regulations, according to a survey by PricewaterhouseCoopers LLP. About 37 percent of chief executive officers surveyed...

Elder financial fraud claiming nearly $3B

June 20, 2011

Older Americans are being financially abused by family members, strangers and businesses to the tune of $2.9 billion a year, according to the latest MetLife Inc. study. That total is 12% greater than the study's 2008 findings, which estimated...

Outsourcing peripheral tasks lets advisers focus on growth, clients

June 19, 2011

When David Marotta started his advisory practice in 2000, he was tempted to get involved with the design of its website and the deployment of software and computer resources for the office. After all, he has been a computer scientist before...

Growing your advisory practice: What's your next move?

June 19, 2011

After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years. “At a certain point, advisers need to make a conscious decision...

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