RIAs

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Fidelity CEO eases requirements for adviser biz’s profit margins

June 4, 2007

Edward C. “Ned” Johnson III has given the adviser services business at Fidelity Investments approval to loosen temporarily constraints on its profit margins in a bid to gain market share among advisers.

Fidelity unveils systems for RIAs

May 9, 2007

Fidelity Investments, in cooperation with Oracle Corp. and Emerging Information Systems Inc., has created two web-based customer relationship management and financial planning systems for registered investment advisers, the Boston-based firm announced today.

Hey there, insurance agent: We can make you an RIA

April 23, 2007

A new firm is assisting insurance agents in becoming registered investment advisers so the agents can obtain fee income from advice and securities products.

Sun shines on RIAs, and product makers bask in the glow

April 2, 2007

SAN FRANCISCO — The days when registered investment advisers could remain as cloistered and mysterious to outsiders as a John Grisham-style law firm may be drawing to a close.

Thomson expands push into wealth management

February 26, 2007

SAN FRANCISCO — Thomson Financial’s recent acquisition of a Belgian software company is a clear indication of its desire to appeal to higher-end financial advisers, analysts say.

KPMG suffers adverse legal ruling

February 2, 2007

KPMG LLP endured another blow in its tax shelter case this week, when a federal judge in Texas ruled that tax shelters based on fake bank loans are not legitimate tax write-offs, according to the New York Times.

Folio Institutional launches model portfolio service

April 9, 2001

Folio Institutional has rolled out a service that allows its RIA clients to tap into model portfolios run by other advisers who custody at the firm.

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