Tag: Business model

A judge this week dismissed a case alleging that because brokers are being paid for investment advice by 12(b)-1 fees, they should also be registered as investment advisers. 

U.S. Retirement Partners (USRP) has acquired USD Insurance and Financial Services, Inc. (USD), a 403(b) provider serving the K-12 education market. 

The Mather Group, a group of retirement investment advisers (RIAs) led by Stewart Mather, has left Morgan Stanley and opened an independent office in Chicago.  

Seventy-five percent of U.S. broker/dealer (B/D) and independent registered investment advisory (RIA) firms are planning to hire in the next 12 months. 

Saguenay Capital and Strathmore Capital announce their merger to form Saguenay Strathmore Capital, a global alternative investment manager.

Looking at all angles of a wealthy client’s finances is undoubtedly important; one group is proposing tackling all aspects of a client's life to achieve the best outcomes.    

The Principal Financial Group has introduced benchmarking tools and a tax credit calculator for small businesses.

Mohler, Nixon & Williams (MNW) have promoted senior managers Ryan Koch and Brad Wall to audit partners. 

The Greenbrier Wealth Management Group has come together under Raymond James & Associates in its Westlake Village, California, office.  

Schwab Advisor Services tracked 23 merger and acquisition deals among registered investment advisers (RIAs) in the first quarter of 2011.  

Russell Investments launched the Advisor Health Index, a tool that provides financial advisers with a high-level "health" assessment of their practice in comparison to other advisory firms.

Still River Retirement Planning Software and RetirementWORKS developed a retirement consulting unit, along with four white papers, to present its new strategies for serving the retirement marketplace. 

Wirehouses are changing the way they work with investors, advisers, and asset managers in an effort to win back some of the market share they’ve lost to regional...

The American Express OPEN Small Business Monitor finds retirement savings is a worrisome topic for business owners.

State Street Global Advisors (SSgA) and the Wharton School of Business have published a study that found 17% of investors use two or more financial advisers–and most don’t...

Prudential released findings from a research study, “The African American Financial Experience,” and the results show a demographic largely mistrusting of the financial services industry, with a growing middle...

Nearly 70% of advisers expect the independent model to offer more earnings potential than any other business model over the next 18 months, a Fidelity Investments survey found.

Less than five percent of advisers have shifted their practice to exclusively serve the Baby Boomer market, but researchers say this percentage is likely to grow.  

A newly privatized third-party administrator (TPA) has completed the implementation of a technology platform and administrative business model in its nation-wide network.   

Eight in ten advisers at broker/dealers and insurance companies say the idea of being an independent registered investment adviser (RIA) is appealing, according to a Schwab survey.