Displaying 4554 results
States: Advisers violating rules by using ‘RIA’
Signatures on letters often followed by 'RIA,' implying earned designation; it's not
Commiseration the theme of a volatile 2011
A survey by the SEI Advisor Network found that wildly volatile markets in 2011 presented an opportunity for advisers to reach out more to clients and strengthen existing relationships.
VA carriers hunkering down
Despite a marked increase in investor appetite for variable annuities, 2011 will go down as a year of…
Comp and circumstance: TD’s Bradley gets big boost in total pay
Custody unit boss receives 35% hike, as brokerage's management delivers in 'difficult operating conditions'
Raymond James picks up RIAs
Raymond James' custody unit has picked up four new RIA firms with more than $400 million in assets.
A wise decision from Judge Rakoff
Thank you, Judge Jed Rakoff, for insisting that the SEC and big financial services firms come clean with the facts surrounding their legal battles before asking courts to sign off on a settlement.
The 10 videos advisers watched most in 2011
Financial advisers have begun to incorporate video into their marketing as a key client communication and business development tool.
Rudy Adolf: The focus driving Focus
Rudy Adolf said he became convinced that RIAs were the future of the investment management business back in the late 1990s, when he was running a traditional brokerage firm.
The Power 20
Which individuals will have the greatest impact on financial advisers and the overall industry in 2012? InvestmentNews highlights the 20 most powerful people of 2012, according to our editors and reporters.
Congress is no place for insider trading
GIVEN THE EXPERIENCE of the past few years, many individual investors think that the rich and powerful have…
Double your pleasure
Investment advisers don't seem thrilled by the prospect of switching from SEC oversight to an SRO -- particularly if that SRO is Finra. Now comes word that advisory firms might pay twice as much in fees if Finra were to take the reins from the Commission. (photo: lobstar28) EXTRA The secrets of less-successful advisers »
Be prepared for a tougher SEC
The Securities and Exchange Commission has blundered badly in the past decade, missing several major scandals, including the Enron fraud and the Madoff Ponzi scheme. Most recently, its proposed settlement with Citigroup Inc. was rejected by a federal judge.
Advisers shuffle off in Buffalo as firm closes
A small broker-dealer in Buffalo is shutting down next year because its five teams of financial advisers want to find a better fit for their individual businesses.
Atlanta: Wealth management prospects down, but not out
A bit of Southern hospitality mixed with big-city benefits has helped Atlanta remain an ideal place to build a wealth management business, even though it is still recovering from an economic downturn.
Longtime RJFS CEO to retire
Raymond James Financial Inc. will see a number of upper-management changes in the new year, including the departure of Dick Averitt, longtime chief executive of Raymond James Financial Services Inc.
VA charge hits ING hard
A hefty charge that ING Groep NV will take on its American variable annuity business appears to be a mixed blessing for investors hoping to snap up shares of the company's insurance unit once it makes its public debut.
Schwab franchise plan could be a hard sell
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.
Thanks to lawmakers, year-end tax planning a toss of the dart
Uncertainty about what Congress does in 2012 confounding clients, tax planners; 'lot of unhappy people'
Insurers using nimble approach to shield VA holders’ assets
The recent bout of stock market volatility is putting a new variable annuity investment strategy to the test.
Latest VAs reflect the ‘new normal’
Volatile equity markets and record low interest rates have led major variable annuity issuers to rein in sales, but a few insurers are drumming up business with products that reflect the “new normal”
