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This adviser is in hiring mode
Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued.
SRO battle intensifies; will independents have a separate regulator?
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Ranks of advisers thin out for first time in a decade
Number of RIAs down 1%; the good news: AUM up 13.7%
State crackdown could be the death of some universal life policies
Push for larger reserves could push some insurers right out of the business; vendors fighting back
Bill to cap cap gains rate may hit Senate turbulence
Sponsors of legislation that would limit on the federal levy on investment income at 15% are confident of strong support in the House. The Senate is another matter, however.
Advisers guide parents to blend college-funding vehicles
Financial advisers are recommending a mix of tools to fund college tuition, the most popular of which are Section 529 college savings plans and trust accounts, according to a new survey.
You can take it with you: Death-tax break extends beyond the grave
Provision allows deceased to pass on exemption to spouse; expires in 2013
Convergent winds down institutional wealth unit as $4.9B RIA leaves
Focus Financial Partners has landed one of its biggest RIA partner firms yet with the addition of LVW Advisors — a pickup that also signals the wind-down of Convergent Wealth Advisors' institutional business.
Variable annuities selling at fever pitch
Investors, attracted by the allure of guarantees, gobbled up variable annuities during the second quarter, placing some insurers on pace to beat estimates and bringing broker-dealers closer to pre-crisis VA sales levels
Advisers’ revenue up to pre-crisis level, but growth doesn’t have legs
Adviser revenue recovered last year to pre-crisis levels as assets continued to climb, but growth expectations for future growth have soured.
Jackson National Life Insurance is No. 1 in adviser satisfaction
Financial advisers are stuck on Jackson National Life Insurance Co.'s variable annuities
Ranks of advisers thin out for first time in a decade
The number of investment advisers registered with the Securities and Exchange Commission has fallen for the first time in 10 years, while the assets that they manage have increased sharply, according to a report released last week
Product aims to mitigate risk for RIAs
The MDE Group Inc., a $1.3 billion institutional wealth management firm, is making an official expansion into the registered investment adviser business with the launch of Risk 3.0 Asset Management
RIA deals MIA in second half of 2011
Market volatility derails tie-ups; 'buyers and sellers backing off'
RIA merger mania still on as Cornerstone and Regal hook up
Deal gives smaller firm foot into university employee market
Valuations plumping up as RIA deals approach record
National consolidators, PE firms leading the charge; fourth quarter deals already hopping
Edelman Financial to exit indie-rep business
Draw your own conclusion, but high-profile RIA Edelman Financial is bailing on the indie-rep business. In explaining the move, co-founder Ric Edelman called the indie B-D channel 'severely flawed,' adding that many broker-dealers will have trouble surviving.Extra What top RIA execs make
Focus Financial fills another hole, buys niche RIA
Fifth deal for form this year
Bigger in Texas? Dallas RIA ties up with Oklahoma firm
EFG and Burns Advisory merge; 'scale in this business is key'
