Tag: RIA

A recent report suggests that asset managers need to be using digital media to attract registered investment advisers (RIAs).

Schwab Advisor Services announced that Laser App, a desktop software package, will be widely available to advisers that custody with the company by the end of the year.

Charles Schwab’s 2011 RIA Benchmarking Study found that meeting and adapting to regulatory changes was an impediment to growth, cited by 21% of firms for the first time...

Zach Gronich, President and CEO of RIA in a Box, says that advisers who will need to register at the state level should be aware of the paperwork...

Schwab Advisor Services is introducing a consultative program, “Managing Client Profitability,” designed to help advisers grow their business through effective client segmentation.

Pershing LLC, a BNY Mellon company, has added more than 20 providers to its ValueAlliance program.

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. 

Mutual of Omaha Retirement Plans Division announced a strategic alliance with Triad Advisors Inc. to help support the sale of its retirement plan solutions.

TIAA-CREF has collaborated with the Center for Due Diligence (CFDD) and PlanTools to create the Advisor Network.   

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. 

TD Ameritrade has started a professional development program that aims to give women in financial advisory roles the tools they need to effectively market their services to female...

In its quarterly Sentiment Survey of registered investment advisers (RIAs), TD Ameritrade found 73% of respondents said business has grown in the last six months.  

Without question the retirement plan industry has prospered from the long-standing practice of relying heavily – and in some situations, completely - on asset-based fees. ...

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...

RidgeWorth Investments has hired Robert Zakem as Chief Compliance Officer and General Counsel, and Joseph O'Donnell as Chief Compliance Officer for RidgeWorth Funds.  

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.

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. 

A report from Charles Schwab evaluates the pros and cons of combining a traditional brokerage business and fee-based advisory business.

The SPARK Institute hosted a Webinar Wednesday that discussed how “harmonization” would work if broker/dealers (B/Ds) and registered investment advisers (RIAs) were to work under a uniform fiduciary...