Tag: RIAs

New research from Fidelity Institutional Wealth Services suggests a vast majority of registered investment advisers (RIAs) are simply “accommodating” their retirement plan clients.

Richard Staves, an investment adviser representative from Cherry Creek Wealth Management Inc., has affiliated with Redhawk Wealth Advisors for wealth management and retirement plan services.

The DOL’s fee data proposal is fairly straightforward, but could trigger a prohibited transaction, says Bruce Ashton, a partner in Drinker Biddle & Reath’s Los Angeles office.

National Financial Partners Corp., known as NFP, acquired the San Diego-based Washington Wealth Management LLC.

Following best practices can secure an extra 3% in net returns for the clients of advisers, according to Vanguard Advisor.

A new analysis from the Investment Company Institute (ICI) shows a vast majority of traditional individual retirement accounts (IRAs) are opened with rollovers from employer-sponsored retirement plans.

Garrett Stinson joined registered investment advisory firm SageView Advisory Group as a managing director.

Registered independent adviser and broker/dealer firm United Planners Financial Services says it is enacting staffing and organizational changes to better serve its adviser partners.

The latest release of the Portfolio Manager investment platform and reporting system from LPL Financial features customizable firm branding capabilities and time-saving scheduling options.

A new analysis from Charles Schwab finds the sum value of mergers and acquisitions transacted by registered investment adviser (RIA) businesses neared $44 billion in 2013.

If advisers want to score satisfaction points with their female clients, they need to deliver holistic advice and become active listeners.

CEFEX designations are gaining more widespread adoption, and some say the certification process yields valuable insights about their own firms.

Investment services firm Charles Schwab has rolled out Schwab OpenView Mobile, a customizable application that registered investment advisers (RIAs) can use to create a mobile presence for their...

During “America Saves Week,” plan advisers can help their plan sponsors turn up the savings to better prepare for retirement.

One of the biggest mysteries haunting the industry is the impact of the revised fiduciary rule on investment product marketing for IRA rollovers.

Think people are either pre- or post-retirement? Think again. Before and after retirement is a spectrum of lifestyles and backgrounds, research says, and all types need specific messaging...

The Securities and Exchange Commission (SEC) says it has launched a previously announced initiative to audit registered investment advisers (RIAs) that have never been examined.

Research from financial analytics firm Cerulli Associates shows the individual retirement account (IRA) market could surpass $9 trillion in total assets over the next four years.

Nearly three-quarters of 401(k) assets are held in 5,000 big retirement plans, possibly affecting how defined contribution (DC) plans make investments, a report says.

JHS Capital Advisors now offers Lincoln Trust Co.’s Model(k) plan solution for broker/dealers in the small and mid-sized 401(k) market.