Tag: RIAs

Without question the retirement plan industry has prospered from the long-standing practice of relying heavily – and in some situations, completely - on asset-based fees. ...

Wirehouses are changing the way they work with investors, advisers, and asset managers in an effort to win back some of the market share they’ve lost to regional...

RidgeWorth Investments has hired Robert Zakem as Chief Compliance Officer and General Counsel, and Joseph O'Donnell as Chief Compliance Officer for RidgeWorth Funds.  

Nearly 70% of advisers expect the independent model to offer more earnings potential than any other business model over the next 18 months, a Fidelity Investments survey found.

Eight in ten advisers at broker/dealers and insurance companies say the idea of being an independent registered investment adviser (RIA) is appealing, according to a Schwab survey. 

A report from Charles Schwab evaluates the pros and cons of combining a traditional brokerage business and fee-based advisory business.

The SPARK Institute hosted a Webinar Wednesday that discussed how “harmonization” would work if broker/dealers (B/Ds) and registered investment advisers (RIAs) were to work under a uniform fiduciary...

SageView Advisory Group has hired Jason Smith and Jodi Macleod to work in its newly created Omaha, Nebraska, office. 

Guggenheim Partners, a financial services firm, established the Guggenheim Investment Advisory division to serve the needs of investment advisers and other financial intermediaries.  

TD Ameritrade Institutional is launching TD Ameritrade Advisor Education, a customizable learning management system for independent registered investment advisers (RIAs). 

In response to a mandate from the Dodd-Frank Act to investigate investor access to information on broker/dealers (B/Ds) and registered investment advisers (RIAs), the Securities and Exchange Commission...

linkedFA, a social networking site designed for financial professionals, has acquired AdvisorConnect, a private, online community for independent advisers.  

The Securities and Exchange Commission’s (SEC) anticipated report, “Study on Investment Advisers and Broker-Dealers,” came out late Friday, and by Monday morning, predictions for the future of the industry...

Commissioner Elisse Walter issued a statement today after the Securities and Exchange Commission (SEC) published a report regarding a lack of oversight of registered investment advisers (RIAs).   

The much-anticipated report from the Securities and Exchange Commission (SEC) says Congress should consider three options for improving oversight of registered investment advisers (RIAs): user fees, a self-regulatory...

Pershing LLC, a BNY Mellon company, announced upgrades to its Advisor in Transition practice management program. 

TD Ameritrade Institutional has been collaborating with third-party technology providers in order to open its Application Programming Interface (API) with its VEO management platform.   

JMG Financial Group, Ltd. has appointed Thomas Harty as a retirement plan consultant.

Pershing Advisor Solutions LLC has released a new study, “Creating Growth: The Rewards and Challenges of the Multi-Location Model.”

Consulting firm kasina has published a report examining the methods asset managers should use to sell to registered investment advisers (RIAs).