Tag: RIAs

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.

Larry Roth will take over the senior management team of Cetera Financial Group, replacing Valerie Brown, longstanding head of Cetera and its predecessor broker/dealer firms.

Compliance consulting firm Lexington Compliance launched a registered investment adviser (RIA) registration service to help clients establish and manage new independent financial services firms.

VALIC, a retirement plan services provider, has integrated LPL Financial’s Worksite Financial Solutions platform into its suite of offerings.

Margaret (Peggy) Santhouse joined John Hancock Retirement Plan Services as vice president of national accounts for mid-market distribution relationships.

Envestnet Tamarac, a division of Envestnet, Inc. that provides integrated portfolio software for independent advisers, has released the next generation of its client relationship management (CRM) application.

Jon Chambers and Tina Chambers joined SageView in the roles of managing director and senior retirement plan consultant, respectively.

LPL Financial appointed long-time executive William Morrissey as managing director of independent adviser services.

A new analysis from financial research and analytics firm Cerulli Associates finds adviser migration may grow independent channels to 38% market share by 2016.

Carmela Elco joined the Chicago-based institutional retirement and investment consulting firm Blue Prairie Group as an affiliated retirement consultant and office leader.

When recruiting, don’t automatically look past wirehouse advisers, says Neal Simon of Highline Wealth Management, because they might be a firm’s value add. 

Lincoln Financial Group appointed Sean Duncan as an institutional business development director within the firm’s retirement plan services business.

A practice is more than just a way to collect a paycheck, says Jeff Concepcion. Many advisers think of it that way, but when they want to monetize...

Registered investment advisers (RIAs) are the service target of Brownstone Investment Group, which specializes in fixed income, and expanded its services specifically for advisers. 

Advisers who team up and use outside specialists provide higher client satisfaction and achieve greater returns, says Bellaria Jimenez of MetLife Solutions Group.