RIAs

Displaying 4997 results
NEWS RIAS JUL 15, 2014
Why some brokers stand by commissions

Some brokers say the math in moving to a fee-based model just doesn't add up for clients.

By Mason Braswell
NEWS RIAS JUL 15, 2014
Lack of adviser oversight is ticking bomb

The SEC must find a way to increase adviser examinations, otherwise American investors face a grave threat.

By MFXFeeder
NEWS RIAS JUL 15, 2014
RIAs and small B-Ds have advantages over bigger firms

At <a href=&quot;http://www.investmentnews.com/section/video?playerType=Events&amp;eventID=Pershing2014&amp;playlistID=3603510948001&quot;>Pershing's Insite 2014</a>, BNY exec Brian Shea says bigger Wall Street players continue to face economic and regulatory challenges, opening the door for smaller firms.

By Mason Braswell
NEWS RIAS JUL 14, 2014
Advisers held back by fee-based fears

Wirehouses outpace the rest of the industry in making the shift to charging fees.

By Mason Braswell
NEWS RIAS JUL 14, 2014
Will HighTower be the next Raymond James?

HighTower chief executive Elliott Weissbluth says adding new platforms will help the firm achieve a business model and scale comparable to that of Raymond James. Mason Braswell has the story.

By Mason Braswell
NEWS RIAS JUL 13, 2014
Tittsworth exits IAA after waging battles on behalf of investment advisers

After 18 years, David Tittsworth is leaving the Investment Adviser Association, a group he led during a period of expanding regulation.

By Mark Schoeff Jr.
NEWS RIAS JUL 11, 2014
Merrill Lynch team with $592M in assets moves to LPL

Chicago-based team has moved to LPL's hybrid RIA platform.

By Minda Smiley
NEWS RIAS JUL 11, 2014
Stocks have biggest May in years but where's the excitement?

<i>Breakfast with Benjamin: Why there's no excitement for this stock rally. </i>Plus: Fee-only RIAs in the catbird seat but they can't relax; the active ETF world heating up; what QE has wrought; on Phil Mickelson and insider trading; and Apple's big day.

By Jeff Benjamin
NEWS RIAS JUL 10, 2014
Alternatives offer money managers a profitable lifeline

Low-cost index funds capturing 25% of new assets but drive just 5% of revenue.

By Trevor Hunnicutt
NEWS RIAS JUL 10, 2014
Powerful Wells Fargo division takes over firm's wealth management research functions

New unit will influence product selections for 15,000 advisers managing $1.6 trillion in assets.

By Trevor Hunnicutt
NEWS RIAS JUL 09, 2014
D.C. attracts intellectual, financial capital

By Mark Schoeff Jr.
NEWS RIAS JUL 08, 2014
Steward Partners adds consulting unit

CEO says the consulting business will operate 'conflict-free.'

By Trevor Hunnicutt
NEWS RIAS JUL 07, 2014
Dollar rides high on hope into earnings season

<i>Breakfast with Benjamin:</i> The dollar is enjoying a big rally right into earnings season. Plus: Goldman moves up its rate hike forecast, putting GDP in perspective, El-Erian reads Yellen's mind, and proven old-school investing techniques.

By Jeff Benjamin
NEWS RIAS JUL 02, 2014
Adviser lessons from Dr. Dre: Long-term greedy vs. short-term greedy

What if taking upfront money actually reduces the ability to capture the real long-term wealth in your firm?

By Joe Duran
NEWS RIAS JUN 30, 2014
Billion-dollar teams inch into indie market

With improvements in technology and compensation models, independent firms are narrowing the gap in the competition for the biggest talent on Wall Street.

By Mason Braswell
NEWS RIAS JUN 30, 2014
Kitces, Alan Moore to launch XY Planning Network

New network will support advisers who work with Generation X and Y clients

By Joyce Hanson
NEWS RIAS JUN 30, 2014
J.D. Power: Satisfaction with investment firms up

By Liz Skinner
NEWS RIAS JUN 24, 2014
TD Ameritrade, Schwab put third-party exams on lawmakers' radar

Without outright endorsing the idea, executives say outside contractors should be considered as a way to increase oversight of RIAs.

By Mark Schoeff Jr.
NEWS RIAS JUN 24, 2014
SEC exam director warns advisers about use of alternative mutual funds

Noting surge in inflows, Bowden calls the funds 'bright, shiny objects' with sharp edges.

By Mark Schoeff Jr.
NEWS RIAS JUN 23, 2014
The secret to deepening relationships with top clients

Make this five-step process a part of your practice and you will connect better with valued clients and their family members.

By Mark Singer