RIA in a Box Offering E&O Insurance
RIA in a Box, a registered investment adviser (RIA) consultancy firm, has partnered with Lloyds of London and the North American Professional Liability Insurance Agency (NAPLIA) to provide errors...
Tag: RIA
Scottrade has New Head of Adviser Services
Brian Davis has been promoted to head of Scottrade Adviser Services, a division of the firm that offers institutional trading and custodial services to independent registered investment advisers...
Mercer Professionals Form New Investment Consulting Group
Former Mercer outsourcing principals Peter Gosselin, Shawn Charles, and Julie Doran have formed Gosselin Consulting Group LLC, an independent, full-service institutional investment consulting firm.
National Financial Introduces Collection of Fee-Based Trading Tools
National Financial, a Fidelity Investments company and provider of custody and clearing services to broker/dealers, announced a suite of fee-based trading capabilities into its Streetscape brokerage workstation.
Fidelity to Incorporate Black Diamond Technology
Fidelity WealthCentral, a hub for registered investment advisers (RIAs) to use third-party solutions, has partnered with Black Diamond for use of its BlueSky system.
Fidelity Aims to Help RIAs Expand Business
A new Fidelity program, “Expand Your Practice,” is intended to help registered investment advisers (RIAs) analyze their readiness to grow through mergers, acquisitions, or hiring new people.
TD Ameritrade Creates New Platform for UMAs
The Unified Managed Account Exchange, UMAX, will provide independent registered investment advisers (RIAs) with more flexibility and allow them to expand investment options for clients.
RIAs Increased Average AUM Significantly
A survey conducted by Rydex|SGI's AdvisorBenchmarking of 427 registered investment adviser (RIA) firms found their average assets under management (AUM) increased by 28% from 2008 to 2009.
EPIC Hires Sales Manager
EPIC Advisors, a 401(k) plan recordkeeping firm, has appointed Carolyn Richardson as a sales consultant.
Survey of RIAs Shows Growing Optimism
The Charles Schwab Independent Advisor Outlook Study indicates that while advisers see cause to be optimistic, their clients are more unsure.
SEC Votes to Change Form ADV
As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...
White Horse Advisors Now an RIA
White Horse Advisors, LLC is now an SEC-registered investment advisor (RIA).
RIAs Continue to Pull in Clients, Show Optimism for Economic Recovery
Most (68%) registered investment advisers (RIAs) said they have increased the number of clients over the last six months, up 13% over the previous quarter, according to a...
CapTrust Promotes Graham to Partner
CapTrust Advisors, LLC, announced that James (Jeb) E. Graham is now a firm partner.
Pershing Offers Global Investing Resources to B/Ds and RIAs
Pershing LLC, a BNY Mellon company, has launched an educational initiative about international investing to help its introducing broker/dealer (IBD) and independent registered investment adviser (RIA) customers capitalize...
Most RIAs Lack Formal Succession Plan
While most surveyed registered investment advisers (RIAs) said succession planning is important to their clients, less than half of RIAs have a formal plan.
linkedFA Links Up with LiveOffice for Social Media Compliance Solution
linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.
Triad Advisors Partners with Wealth Management Firm
Triad Advisors announced that it is now affiliated with Gitterman & Associates Wealth Management, LLC.
NUA Advisors Establishes Retirement Division in the Midwest
Steven D. Cox has joined Columbus, Ohio-based NUA Advisors, LLC, to establish a Midwest division of NUA’s Qualified Retirement Planning Group.