Tag: RIAs

RCS Capital Corporation (RCAP) has entered into an agreement to purchase independent broker/dealer Girard Securities, Inc., further expanding the RCAP advisory network’s major 2014 growth.

A lack of succession process readiness, along with valuation issues, makes selling an independent advisory practice unfavorable for many advisers, says a new CLS Investments analysis.

Registered investment advisers (RIAs) have increased long-term mutual fund and exchange-traded fund (ETF) assets under management by more than 12% this year, according to Broadridge research.

Focus Financial Partners, LLC announced that Dan Sontag, former president of Merrill Lynch’s global wealth management unit, has joined the Focus wealth management network’s board of directors.

While it’s true that advisers are often hired to assist with defined contribution (DC) retirement plans, knowledge of defined benefit (DB) issues can still be a big value-add.

Financial professionals were increasingly focused on market volatility in the second quarter of 2014, says a quarterly adviser sentiment survey from Fidelity Financial Advisor Solutions.

Pension Advisors, an independent financial and retirement advisory firm, has selected Independent Financial Group, LLC as its new broker/dealer.

NFP Advisor Services (NFPAS), a National Financial Partners Corp. (NFP) business group, has integrated the retirement plan adviser tools and support services of 401(k) Advisors.

The newly launched Pensionmark Practice Acquisition Group will help retirement advisory firm owners prepare for and execute the sale of all or part of their practice.

Research from Schwab Advisor Services shows registered investment advisers (RIAs) are enjoying their best growth since at least 2006, when Schwab launched its annual RIA Benchmarking Study.

LPL Financial reached a partnership agreement with Financial Telesis and Bill Chetney, former LPL Retirement Partners president, to create a new retirement plan advisory firm known as Global...

Advisers who serve school districts can add value by sitting down with employees to make sure they appreciate the benefits they receive through a 403(b) plan.

Investment firms that actively mentor younger advisers are likely to gain a competitive advantage over the next decade, according to the J.D. Power “2014 U.S. Financial Advisor Satisfaction...

No more exceptions: Advisers who are members of the National Association of Personal Financial Advisors (NAPFA) cannot accept compensation in any form from any source other than their...

Pam Popp will join Lockton as president of retirement services operation, effective September 2.

The Financial Industry Regulatory Authority (FINRA) backed off its proposal requiring broker/dealers to disclose financial incentives to move to a new firm.  

A Worksite platform integration lets LPL advisers and reps offer plan sponsors and plan participants access to The Guardian Choice and The Guardian Advantage products.

Wealth management in high-net-worth families is complicated by relationships, and the vast majority of families believe a session with a financial adviser would benefit their children, a study...

Is retirement the end of work? Not so fast, say the retirees and those contemplating retirement in a study by Merrill Lynch Bank of America.

Open architecture and an uptick in the use of co-fiduciary services are changing the landscape for investment firms, according to Retirement Research Inc.