Tag: RIAs

Chinese Americans are great at saving, according to research from Wells Fargo, but fewer than half of survey respondents have a written financial plan.

A coalition of organizations urged Mary Jo White, chairman of the Securities and Exchange Commission (SEC), to establish a uniform fiduciary standard for broker/dealers and advisers.

Pershing allowed a peek at mobile solution NetX360 iPad and iPhone apps at the INSITE conference in Hollywood, Florida.

Ann Schleck & Co. and ShoeFitts Marketing have teamed up to offer Voilá, a marketing and branding program for retirement plan advisers.

Marathon Retirement & Pension Consulting LLC (Marathon RPC) announced its entry into the small and mid-size retirement plan market.

The Prudent Practices and Prudent Practices for Investment Fiduciaries handbook series were updated by fi360 to keep current on fiduciary guidance for investment professionals.  

The Securities and Exchange Commission (SEC) charged Blake Richards, a registered representative of a broker/dealer, with misappropriating retirement savings from widows or widowers.

A publication from Dechert LLP and RR Donnelley addresses advertising by registered investment advisers (RIAs) so they can keep compliant.  

What are the best ways to go about attracting advisers to a firm when it is looking to expand?

Retirement plan industry training from a partnership of firms and industry organizations is intended to help advisers maintain and grow their retirement plan practice. 

A free, online conference for financial professionals to promote alternative investing education is being hosted by RIA Database and ETF Trends on May 15.

Terminations, retirements and those exiting the industry by choice have all taken their toll on the adviser headcount, which slipped 1.4% in the past year.

Registered investment adviser (RIA) assets are expected to account for approximately one-quarter of industry asset marketshare by the end of 2014, according to Cerulli Associates.

Without significant changes, the SEC cannot fulfill its mandate for examinations of investment advisers, said Elisse Walter, commissioner of the Securities and Exchange Commission (SEC).

Unsurprisingly, client retention is one of the top areas of focus for advisers who make the move to the independent model.

Advisers might want to take a look under the hood to see what’s causing private investors to think it is better to go it alone.

A registered investment adviser (RIA), Square 1 Asset Management, has been unveiled by Square 1 Bank.

A registered independent adviser (RIA), Independent Financial Advisors of Riverside, California, is Beacon Pointe’s latest deal.

It is increasingly being used as a business tool, but users can run into compliance issues on social media when they tweet or post an update.

Cetera Financial Group has agreed to purchase Tower Square Securities and Walnut Street Securities from MetLife Inc.