Results for "registered investment advisers (RIA)"

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Plans to tax munis won't fly, says BNY Mellon

June 2, 2011

Renewed proposals to eliminate the tax-exempt status of municipal bonds as a way to reduce the $1.5 trillion federal deficit are unlikely to succeed, said a report by BNY Mellon. Abolishing the asset class would drive up borrowing costs and...

HighTower stakes its claim to Palm Desert wealthy

June 2, 2011

HighTower Advisors LLC signed up another trio of high-end financial advisers in the Palm Desert, Calif., area late last week, staking a claim in one of the wealthier retirement areas in the country. William Blanke, Robert Schein and Michael...

GOP, Dems on surprising sides of means-testing clash

May 31, 2011

Bernie Sanders, the U.S. Senate's only avowed socialist, may be the chamber's fiercest advocate of taxing the rich to cut the federal deficit. That doesn't mean he wants to reduce their Social Security and Medicare benefits. Representative Paul...

DOL should go slow on fiduciary update

May 29, 2011

In its zeal to improve protection of retirement plan participants from bad advice and conflicts of interest, the Department of Labor is proposing a rule change that, though well-intended, is too broad and may leave some participants more vulnerable...

RIAs: The struggle for advisory firms to maintain growth

May 29, 2011

RIA firms shouldn't expect the good times to last. After benefiting from strong equity markets in 2009 and 2010, registered investment advisory firms will be battling head winds for the next few years as they seek further growth, observers predict....

Wealthy may see double-digit hike in taxes

May 26, 2011

The year 2013 may snap a 12-year winning streak for wealthy Americans on taxes due on income, capital gains, dividends and giving money to their heirs. The U.S. deficit, forecast by the nonpartisan Congressional Budget Office to reach a two-year...

Morgan Stanley Smith Barney to shed reps' social media shackles

May 25, 2011

Morgan Stanley Smith Barney, the world's largest brokerage, will let financial advisers market themselves and share ideas with clients through social- networking websites LinkedIn and Twitter. The plan will start with about 600 advisers in late...

Millionaires, mass affluent bemoan markets but double down anyway

May 25, 2011

Mass-affluent and millionaire investors may not be bullish on the U.S. economy, but they continue to put more money into the markets, according to the latest results from the Phoenix Marketing International Global Wealth Monitor survey. Mass-affluent...

Startup Washington Wealth Management snags MSSB big John Simmons

May 24, 2011

Washington Wealth Management LLC, an independent RIA firm launched in December, has hired veteran wirehouse branch manager John Simmons to serve as president and to open up a West Coast office for the Middleburg, Va.- based firm. Mr. Simmons...

Advisory firms looking to hire – but are the candidates any good?

May 23, 2011

Investment advisers expect to ramp up hiring this year, but job hunters who want to get ahead of the pack are advised to look at the hiring process from the employer's point of view. “Firm owners are frustrated with candidates,” Caleb Brown,...

LPL's Mark Casady: Lack of SRO gives investment advisers a big leg up on brokers

May 23, 2011

A major broker-dealer is lobbying Congress to authorize a self-regulatory organization for investment advisers because it says the lack of such oversight is tilting the market toward advisory firms. Over the last two years, increasing regulation...

Return to big brokerage platforms revives SunAmerica

May 22, 2011

SunAmerica Annuity and Life Assurance Co. is back in the fight in variable annuity sales after being dropped from or ignored on platforms for the past few years. But hurdles — such as a product with limited usefulness, stiff competition and...

Advisers prepare for end of Jackson variable annuity bonanza

May 22, 2011

News that Jackson National Life Insurance Co. will curtail sales of its popular variable annuity products — likely by limiting investments — has financial advisers on the lookout for the next best thing and its competitors waiting with open...

Urge investors to vote all their proxies

May 22, 2011

Thirty-five years ago, legendary management thinker Peter Drucker described a monumental change in business ownership in his book, “The Unseen Revolution: How Pension Fund Socialism Came to America.” The revolution that had transpired unnoticed,...

For RIAs, time is ripe to pick off 401(k) assets

May 19, 2011

As employer-sponsored defined-contribution plans move toward increased fee transparency, registered investment advisers will be in greater demand to help manage the plans, says one longtime industry expert. “There is a sea change in the retirement...

Portfolio management theory all wrong, claims economist

May 18, 2011

The capital asset pricing model may not be dead, but Arun Muralidhar is digging its grave. “If I can't kill it today, I'm going to stab it enough times that it stumbles out of the room,” Mr. Muralidhar told financial advisers at the Investment...

Friend of Rahm: PFM Group buys rival from new Chicago finance chief

May 17, 2011

PFM Group, owner of the largest investment adviser in the U.S. municipal bond market, bought a smaller competitor co-owned by Lois Scott, Chicago Mayor Rahm Emanuel's new chief financial officer. Scott Balice Strategies LLC, a financial adviser...

Memo to Congress: It's time for SEC to be self-funded

May 15, 2011

The time has come for Congress to cut the purse strings that have long impeded the SEC's ability to do its job. By doing so, the Securities and Exchange Commission can join the ranks of many other government agencies that use the fees they collect...

Springtime has arrived and so have the new VAs

May 15, 2011

It is that time again. Forget warm weather and cookouts. For insurance companies, May means new variable annuity contracts and revised product designs. A big theme of the 2011 season is “selective re-risking” as insurers gild certain aspects...

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...

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