Guggenheim Partners, a financial services firm, established the Guggenheim Investment Advisory division to serve the needs of investment advisers and other financial intermediaries.
TD Ameritrade Institutional is launching TD Ameritrade Advisor Education, a customizable learning management system for independent registered investment advisers (RIAs).
In response to a mandate from the Dodd-Frank Act to investigate investor access to information on broker/dealers (B/Ds) and registered investment advisers (RIAs), the Securities and Exchange Commission...
linkedFA, a social networking site designed for financial professionals, has acquired AdvisorConnect, a private, online community for independent advisers.
The Securities and Exchange Commission’s (SEC) anticipated report, “Study on Investment Advisers and Broker-Dealers,” came out late Friday, and by Monday morning, predictions for the future of the industry...
Commissioner Elisse Walter issued a statement today after the Securities and Exchange Commission (SEC) published a report regarding a lack of oversight of registered investment advisers (RIAs).
The much-anticipated report from the Securities and Exchange Commission (SEC) says Congress should consider three options for improving oversight of registered investment advisers (RIAs): user fees, a self-regulatory...
TD Ameritrade Institutional has been collaborating with third-party technology providers in order to open its Application Programming Interface (API) with its VEO management platform.
Fidelity has launched a program, “Options for Independence,” to help breakaway brokers understand the range of options available to them when going independent.
The Trust Representative Office (TRO) program will provide the registered investment adviser (RIA), Moneta, with branded trust services and a referral marketing program targeting local centers of influence.
The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.
Triad Advisors, Inc., a subsidiary of Ladenburg Financial Services Inc., announced that Planning Solutions Group is joining the firm as an independent branch office.
Charles Schwab issued a report today that examines how independent registered investment adviser (RIA) firms can benefit from segmenting their client base and offers strategies on how to...
New services from TD Ameritrade Institutional are designed to help independent registered investment advisers (RIAs) and third-party administrators (TPAs) grow their retirement plan business and better meet the...