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Myriad trends may mean lower equity returns
The merger of the New York Stock Exchange and the Deutsche Boerse bodes ill for individual investors, not because ownership and the headquarters of the combined exchange will be outside the United States, but because of the trends that produced it
Why affiliating with the right broker-dealer makes a big difference
Two years after their regional firm, Piper Jaffray & Co., was bought by UBS AG in 2006, Wayne Wagner, Scott Stoltenberg and Laura Swift came to the conclusion that their Davenport, Iowa, practice just didn't fit in with the global giant
The rise of the RIAs: $1.7T and counting
Assets to the RIA channel have more than tripled over the last ten years, a trend that is 'redefining the way investment advice is delivered'
Wells Fargo on the prowl for wealth management buys
Wells Fargo & Co. may expand by taking over non-bank companies, including wealth-management or insurance businesses, chief executive officer John Stumpf said.
Wilmington Trust sues former HNW team in move to Citi
Wilmington Trust Co., the Delaware bank founded by the du Pont family and being bought by M&T Bank Corp., sued three former company vice presidents who defected to Citigroup Inc., allegedly with proprietary data.
Muni bond regs need an overhaul
Mounting worries about state and local governments' growing budget deficits have transformed the municipal bond market from a sleepy safe haven for conservative investors into a rowdy roadhouse for intrepid investors
Schwab builds branch networks using RIAs
The Charles Schwab Corp. plans to build its branch network by setting up new outlets run by independent…
The new Top RIAs
Who are the RIA Giants? Which firms were the fastest-growing? Find out in the latest edition of the InvestmentNews Top RIA Rankings.
All-ETF VA gives a hedge edge, Moody’s says
Western & Southern Financial Group Inc.'s decision to base its variable annuity investment options on exchange-traded funds is a positive for the insurer, allowing it to better manage market risk tied to the products, according to Moody's Investors Service
All for one
Bring on the fiduciary standard. In a recent InvestmentNews survey of almost 600 advisers, registered reps, financial planners, insurance agents and others, 69.2% said that they agree with the SEC's staff recommendation that any financial professional giving personalized investment advice be deemed a fiduciary
Mariner sails as asset manager on the lookout for acquisitions
While he's too modest to boast about being a successful entrepreneur, Marty Bicknell is the first to admit that he's a poor prognosticator
Cooler heads must prevail in times of capitulation
Advisers soon will see whether last week's reaction to events in the Middle East and North Africa will reverse the slow return of investor confidence that markets have been enjoying
Rockefeller & Co. lands ex-Goldman Sachs big O’Hara
Will serve as managing director for firm with $7.1B in AUMs; outfit started out as John D.'s family office in 1882
To fee or not to fee? Power seen shifting to RIAs
Execs at wirehouses may say their businesses are not threatened by RIAs, but assets managed by independent, fee-based advisers are surging
Onetime E*Trade unit snagged in reported LBO
Adviser Investments purchasing Kobren Insight; said to be management buyout
Many good reasons to breathe life into BABs
Republican leaders in Washington should stand down in their efforts to block the revival of the popular Build America Bond program
Schwab targets smaller RIAs to help expand branch network
Charles Schwab aims to attract smaller RIAs by expanding its retail network
Prudential’s pared-down VA has some advisers grumbling
Prudential once again has pulled back on the living benefits in one of its most popular variable annuities
Other VA players may follow Genworth out door
Genworth Financial Inc.'s decision to leave the variable annuities business could herald more departures by other peripheral players this year.
LPL expanding menu of fee-based VAs
LPL Financial soon will unveil to its representatives an expanded menu of fee-based VAs — a product that has proved unpopular among brokers so far.
