Tag: RIA

Leading up to its own acquisition by the larger Broadridge organization, Fi360 had been actively acquiring other fiduciary solutions firms, aiming to build a comprehensive suite of RIA...

Plan advisers and adviser teams looking to be considered for our 2020 Top 100 Retirement Plan Adviser listing must complete the first step in this process by end-of-day...

With the acquisition of Washington Financial Group, HUB International has made public the first of a series of significant anticipated acquisitions of Global Retirement Partners firms.

One in five U.S. adults currently assists an older family member with daily tasks or housing, according to a new survey from RBC Wealth Management; in addition to...

Fidelity’s 2019 Wealth Management M&A Transaction Report shows there were 23 RIA deals inked during the year worth $1 billion or more.  

Attorneys warn the “other shoe has dropped” in the SEC’s special Share Class Disclosure Initiative—and RIAs that did not self-report potential 12b-1 fee disclosure violations are now being...

According to the SEC’s strategic outline, when Main Street investors seek professional advice, their choices “all too often are not as clear as they should be.”

New at this year’s conference, advisers will have the ability to earn their PLANSPONSOR Retirement Professional designation while in attendance, and we are particularly excited for our opening...

They plan on using it to better understand clients’ needs.

This will mean shifting their current focus from Baby Boomers, TD Ameritrade learned in a survey. 

The site was redesigned using advanced analytics and Artificial Intelligence to better understand their wants and needs. 

Fidelity has updated its quarterly analysis of the average retirement savings balances across its book of business, and the results are once again quite encouraging.

Additional information RIAs must now disclose on the Form ADV may help the SEC develop an automated system to single out firms for examination. 

Broker/dealers (B/Ds) can address new regulatory pressures, and new competition, by enhancing their value proposition and embracing technology, a report by Cerulli suggests.

“The midsized plan asset segment is representative of the DC market segment in which the boutique DC consultant is most prevalent and growing its marketshare,” Cerulli reports.

Envoy Advisory submitted an offer of settlement which the SEC accepted.

Cetera Expands Retirement Business; Mercer Expands Leadership in Detroit Office; OneAmerica Names West Coast Relationship Executive.

Veirphy Analytics Names Chief Growth Officer; Newfleet Brings on Head of Institutional Business Development; Lincoln Financial Group Hires Retirement Planning Leader; and more.