RIAs

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Advisers see college admissions scandal as tip of the iceberg
NEWS RIAS MAR 13, 2019
Advisers see college admissions scandal as tip of the iceberg

Parents' conduct is described as 'disgusting' but not surprising given the current state of higher education.

By Jeff Benjamin
Lipper plans ESG scoring system for mutual funds
NEWS RIAS MAR 12, 2019
Lipper plans ESG scoring system for mutual funds

Citing the growing appeal of sustainable investing, Lipper aims set the bar for ESG ratings

By Jeff Benjamin
Future of advice is wealth planning across the household
NEWS RIAS MAR 11, 2019
Future of advice is wealth planning across the household

MMI report: Advisers will need tech to manage all client accounts together as one.

By Ryan W. Neal
SEC says 79 firms will return $125 million to clients as part of clemency program
NEWS RIAS MAR 11, 2019
SEC says 79 firms will return $125 million to clients as part of clemency program

Agency offered incentives to advisers to turn themselves in.

By Mark Schoeff Jr.
Ed Butowsky, Schwab head to arbitration over $100 million defamation claim
NEWS RIAS MAR 08, 2019
Ed Butowsky, Schwab head to arbitration over $100 million defamation claim

The adviser claims Charles Schwab defamed him and poached his clients.

By Greg Iacurci
State securities regulators back Nevada's fiduciary rule proposal
NEWS RIAS MAR 07, 2019
State securities regulators back Nevada's fiduciary rule proposal

NASAA President Michael Pieciak: Draft regulations should curb abusive practices.

By Mark Schoeff Jr.
Risk-averse investors push advisers to their creative limits
NEWS RIAS MAR 06, 2019
Risk-averse investors push advisers to their creative limits

Financial advisers get creative to keep their conservative clients from losing ground to inflation.

By Jeff Benjamin
Financial advisers take issue with Democratic plans to tax the rich
NEWS RIAS MAR 05, 2019
Financial advisers take issue with Democratic plans to tax the rich

As tax proposals become increasingly 'loony tunes,' financial planners grow more nervous about how the plans could affect their clients.

By Jeff Benjamin
Custodians no longer at the center of RIA technology hubs
NEWS RIAS MAR 01, 2019
Custodians no longer at the center of RIA technology hubs

Aite report shows more advisers are reaching out directly to technology vendors.

By Ryan W. Neal
NEWS RIAS FEB 28, 2019
March 9, 2009: Financial advisers share lessons, scars from rock bottom

As the day approached, advisers felt the pressure and clients lost patience.

By Jeff Benjamin
Creative Planning makes first acquisition, adding $500 million in AUM
NEWS RIAS FEB 26, 2019
Creative Planning makes first acquisition, adding $500 million in AUM

Minneapolis-based Johnston Group will increase presence in Northern Plains.

By InvestmentNews
Morningstar study says advisory clients are stuck on investment performance
NEWS RIAS FEB 26, 2019
Morningstar study says advisory clients are stuck on investment performance

Citing Vanguard's research, Morningstar says advisers need to emphasize the value of behavioral coaching over portfolio management

By Jeff Benjamin
All robo, no advice
NEWS OPINION FEB 25, 2019
All robo, no advice

Robo-advisers are here to stay but it's valid to criticize their limited planning options.

By Anders Jones
A recession? Financial advisers say it's right around the corner — or not
NEWS RIAS FEB 25, 2019
A recession? Financial advisers say it's right around the corner — or not

A case can be made that the economy is either headed for an imminent slowdown or still has some juice left.

By Jeff Benjamin
As volatility rises, United Capital gives advisers crash course in alts, options
NEWS RIAS FEB 25, 2019
As volatility rises, United Capital gives advisers crash course in alts, options

Firm wants to add to advisers' tool kit so they can minimize client risk.

By Jeff Benjamin
Now, not later: RIA custody confusion must be acknowledged by the SEC
NEWS RIAS FEB 23, 2019
Now, not later: RIA custody confusion must be acknowledged by the SEC

Recent guidance still leaves many advisers scratching their heads

By crain-api
Focus Financial rides RIA consolidation to 37 percent annual revenue growth
NEWS RIAS FEB 21, 2019
Focus Financial rides RIA consolidation to 37 percent annual revenue growth

RIA aggregator plans to leverage the public equity markets for continued global expansion

By Jeff Benjamin
Dynasty Financial's Procyon Partners recruits $420-million adviser
NEWS RIAS FEB 21, 2019
Dynasty Financial's Procyon Partners recruits $420-million adviser

New York-based firm reaches $3 billion under management with latest addition.

By Jeff Benjamin
Wirehouse culture driving the move to independence
NEWS RIAS FEB 20, 2019
Wirehouse culture driving the move to independence

Brokers are rejecting a culture driven by leaders who lack ethics and who have never been advisers.

By DSARCH
Piper Jaffray executive joins Hilltop Securities as CEO
NEWS RIAS FEB 20, 2019
Piper Jaffray executive joins Hilltop Securities as CEO

M. Bradley Winges becomes head of Dallas-based securities firm.

By InvestmentNews