Tag: Practice management

U.S. House members belonging to the New Democrat Coalition asked the Department of Labor (DOL) to ensure new fiduciary rules protect access to investment advice.

The Financial Services Institute (FSI) launched a mobile application providing independent financial advisers and financial services firms remote access to advocacy tools and industry updates.

Signs of a brightening economy include investors planning to buy cars or homes, and making travel plans, a survey says.

An updated mobile application from LPL Financial LLC provides better access to financial and market data, along with a new secure messaging system for communicating with clients.

Advisers note that consumer anxiety has a negative impact on financial planning and investment decisions, a survey of financial advisers finds. 

Participants tend to stay in-plan for a time after retirement, research shows, and may need help deciding how to preserve and maximize their account balance.

Fidelis Fiduciary Management launched an independent investment management program for financial advisers who cannot or choose not to serve as fiduciaries for their 401(k) clients.

Mary Ann Picciotto will join OppenheimerFunds as chief compliance officer.

Denver-based investment consulting firm Innovest Portfolio Solutions has acquired InSight Employee Benefit Communications.

Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC). 

Philip Poole has joined Deutsche Asset & Wealth Management as head of research, a new role for the firm.

Putting a tilt on his 2013 forecast, Bob Doll of Nuveen Asset Management predicts a grind-higher economy and a muddle-through stock market for the year ahead. 

Chris Blair joined Mercer’s San Francisco office as a principal for the firm’s defined contribution (DC) adviser specialty practice.

KCG Holdings Inc. has completed the consolidation and renaming of its U.S. broker/dealer operations into KCG Americas LLC.

Everyone knows it’s smart to get physicals on a regular basis. Preventive care helps detect problems before they become a health crisis. 

Bill Chetney has been named president of LPL Retirement Partners, a subsidiary of LPL Financial Holdings Inc., effective January 1, 2014.

Bill Glavin, CEO of OppenheimerFunds, will be replaced by Arthur Steinmetz, the investment firm’s current chief investment officer (CIO), on July 1, 2014.

When compared with their spouses, married men are 58% more likely to be a couple’s primary contact with a financial adviser.

Lincoln Financial Distributors (LFD), the wholesale distribution business of Lincoln Financial Group, added three sales directors to its intermediary retirement plan sales force.