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Fiduciary Network buys stake in Utah RIA
Soltis Investment Advisors is consolidator's 10th deal
UBS Wealth Management hooks up with Richard Bernstein
UBS Wealth Management Americas said it will offer clients in its separately managed account program asset allocation ideas from Richard Bernstein Capital Management LLC, a registered investment adviser, whose eponymous founder was formerly Merrill Lynch & Co. Inc.'s chief investment strategist.
Website offers consumer reviews of advisers
Fabeetle.com, a website that allows clients to rate, review and research financial advisers, has the potential to become a third-party search and marketing hub for both consumers and advisers that one day could compete with Finra's BrokerCheck.
<b>Special report:</b> The top clearing firms
Clearing firms, facing declining revenue and increased competition, have something new to worry about: More and more broker-dealers are seeking loans as an incentive to sign on with a new firm.
Citigroup readies RIA referral program
Citi Personal Wealth Management, the last vestige of retail brokerage at Citigroup Inc. following its spinoff of Smith Barney last June, plans to launch its long-awaited referral program to outside registered investment advisers this summer.
Pershing’s Brueckner: Finra could add board to oversee RIAs
The Financial Industry Regulatory Authority Inc. could oversee registered investment advisers through a separate governance structure, according to…
GenSpring defines the fiduciary divide
A champion of the fiduciary standard sought to drive a wedge between brokerage and advisory firms today.
Nationwide latest to sweeten its VA benefits
Nationwide Financial Services Inc. last week bumped up its variable annuity living benefits, signaling a return — for some carriers — to the generous benefits that backfired on insurers when the stock market imploded in 2008.
Geller Group confirms Labor Department probe
The Geller Group LLC, a New York retirement plan administrator and registered investment adviser, has confirmed in internal memoranda that it is being investigated by the Labor Department.
Geller Group under investigation by Labor Department
The Labor Department is investigating Geller Group LLC, a retirement plan administrator and registered investment adviser, for failing to disclose alleged ties to an accounting firm it recommended as an auditor and for other possible violations, according to former employees and others close to the investigation.
Investors in Gundlach’s old TCW funds given choice of sticking or kicking
TCW Asset Management has given investors in its Special Mortgage Credits Fund I and II until Feb. 19 to decide whether to liquidate their investments.
What do you get for $75M? A ‘poster child of overindulgence’
Listed as a "monument to unparalleled success," the largest home for sale in the United States comes with plenty of space but no carpet, tiles or interior walls. It's up to the future buyer to finish it.
TIAA-CREF’s ex-wealth management boss heading for the exit
Maliz Beams, one of the highest- ranking women at TIAA-CREF, is leaving as part of a management reshuffling at the firm, which oversees $426 billion in retirement assets.
Falling Starr: A timeline of a celebrity financial adviser’s alleged fraud
Kenneth Ira Starr, an investment adviser with a roster of celebrity clients, was charged by the U.S. government on May 27 with orchestrating a $30 million fraud. (An alleged fraud that feds would eventually bump up to an estimated $59 million.)
Jeremy Siegel tells advisers: Markets still have ‘extraordinary’ potential
Despite the huge equity market rally since the March 2009 lows, U.S. stocks remain undervalued relative to long-term trends, according to Jeremy Siegel.
House-Senate conference the last chance for fiduciary amendment
After more than three weeks of debate, the Senate approved a comprehensive overhaul of financial regulations on Thursday night without acting on fiduciary standards amendments.
Boston Private: We’ve paid back our TARP money
Boston Private Financial Holdings Inc. announced today that it has repaid the remaining $104 million in TARP money it owes the U.S. Treasury.
High-frequency trading merits close examination
The May 6 "flash crash" revealed an area of the financial markets that isn't touched by the financial-reform bills in Congress but nevertheless must be examined.
Blog: Why wirehouse advisers think independent brokers are a joke
Here we are, in the midst of a trend to “breakaway Advisors,” where more and more Advisors are thinking of places to work outside of the big 4 firms.
Advisers should sound off on 401(k) plan advice
Most 401(k) plan participants need investment advice.
