Tag: RIAs

Marketing leaders are excelling in their ability to plan effectively, instill their firm story and apply a disciplined referral process.

A quarter of independent financial advisers are currently honing and redeveloping their practices—including many established firms crafting approaches to new markets.

What American investors say they will do and what they actually wind up doing to save for retirement shows a big gap, according to an Edward Jones retirement...

A new name, logo and redesigned website are the former Lincoln Trust’s latest steps in building its retirement business brand.

The acquisition of Trinity Consulting by NFP expands the firm’s employee benefit offerings in the Southeast United States.

A recent Cerulli Associates report assesses whether eRIAs, also known as robo-advisers, could be challenged in the medium and long terms by a “first-mover effect.”

New merger and acquisition (M&A) data from Schwab Advisor Services finds the pace of deals in the registered investment adviser (RIA) industry remained steady in 2014.

The deadline for some to start taking required minimum distributions (RMDs) is April 1, and the penalty for forgetting—a 50% tax bill—is big.

The EZ K Plan from Revzon Consulting Group is a full- service, one-stop 401(k) plan package that lets registered investment advisers meet the needs of small-company clients.

Advisers are aging—and few have a succession plan, or even a grip on how to sell, merge or add to their practice, say the creators of RIA Match...

CAPTRUST and Pensionmark Retirement Group will create a new entity intended to be the industry’s premier platform for retirement plan advisers.

Less than a quarter of wirehouse advisers control nearly half of all traditionally advised assets, says Cerulli Associates in a new report. 

Charles Schwab launched an automated investment advisory service, Schwab Intelligent Portfolios, aimed at simplifying client portfolio maintenance.

President Barack Obama said he expects opposition from special interest groups to the pending fiduciary rule, even though specifics of the rulemaking have not yet been disclosed.

Independent financial advisory practice, Ellsworth Private Wealth Management, has transitioned to LPL Financial’s broker/dealer platform.

Total financial adviser headcount has decreased for a fifth consecutive year, according to research from Cerulli Associates.

Salient Partners announced it will acquire Forward Management, an independent asset management firm based in San Francisco and investment adviser to the Forward Funds.

Wellspring Advisor Group is the newest addition to the LPL Financial broker/dealer platform.

Total financial adviser headcount continues to decline despite strong asset growth for the advisory industry in recent years, according to Cerulli Associates.

Pershing rolled out the Retirement Plan Network, which aims to help broker/dealers, investment advisers and registered investment advisers (RIAs) expand their retirement business.