Tag: RIAs

An updated mobile application from LPL Financial LLC provides better access to financial and market data, along with a new secure messaging system for communicating with clients.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

Advisers note that consumer anxiety has a negative impact on financial planning and investment decisions, a survey of financial advisers finds. 

Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC). 

Jeffrey Hommel and Marc Panasuk joined TD Ameritrade’s retirement planning business as vice presidents for sales and retirement plan solutions.

When it comes to determining a sustainable drawdown rate, everyone is searching for the right answer, says Gregg Fisher of Gerstein Fisher, an investment management firm.

Research from Cerulli Associates shows the registered investment adviser (RIA) channel growing at a much stronger rate than all other advisory business models.

Many self-employed people expect their savings to fund their retirement—but 40% are not saving regularly and 28% are not saving at all, a survey found.

Involving family members in retirement planning brings peace of mind, according to a survey on how families approach future financial needs.

The firm added its line of Northern Focused Portfolios (NFP) to the FDx Advisors Unified Overlay Management Program platform, run by FDx Advisors.

Retirement plan participants said that they control two-thirds of their assets by themselves without the assistance of an adviser.

Regulatory changes and expectations of increased competition are redefining registered investment adviser (RIA) practices around the U.S.

Plan advisers should stress the importance of communication and planning, signaling that retirement is a time of empowerment—not a dismal single life event.

As rising debt levels push aside retirement savings, access to financial education and advice may be part of the solution.

Two-thirds of advisers lack succession plans, Fidelity Institutional Wealth Services found.

Registered investment advisers (RIAs) look at alternative investments and tactical management as the keys to navigating volatility in the current market.

A planned expansion of approximately 200 advisers will give TIAA-CREF a total of more than 650 advisers in its individual advisory services group by the end of 2014.

They have yet to get around to it. Some say they just do not need to. A substantial number of investors have not developed a financial plan, Nationwide...

Developing sophisticated segmentation and sales strategies is critical to growing business with registered investment advisers (RIAs), according to new research by kasina.

ERISA Fiduciary Advisors (EFA) affiliated with Retirement Plan Advisory Group (RPAG), the largest independent practice management firm in the country.