CapTrust Promotes Graham to Partner
CapTrust Advisors, LLC, announced that James (Jeb) E. Graham is now a firm partner.
Tag: RIAs
Pershing Offers Global Investing Resources to B/Ds and RIAs
Pershing LLC, a BNY Mellon company, has launched an educational initiative about international investing to help its introducing broker/dealer (IBD) and independent registered investment adviser (RIA) customers capitalize...
Most RIAs Lack Formal Succession Plan
While most surveyed registered investment advisers (RIAs) said succession planning is important to their clients, less than half of RIAs have a formal plan.
linkedFA Links Up with LiveOffice for Social Media Compliance Solution
linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.
Triad Advisors Partners with Wealth Management Firm
Triad Advisors announced that it is now affiliated with Gitterman & Associates Wealth Management, LLC.
NUA Advisors Establishes Retirement Division in the Midwest
Steven D. Cox has joined Columbus, Ohio-based NUA Advisors, LLC, to establish a Midwest division of NUA’s Qualified Retirement Planning Group.
TD AMERITRADE Institutional Launches Advisory Firm Valuation Tool
Independent registered investment advisers (RIAs) who custody assets with TD AMERITRADE Institutional now have access to the Valuation Analyzer, an online tool to help advisers estimate their firm’s...
Report Offers RIA Firms Tips for Snatching Up Advisers
The latest whitepaper from Charles Schwab Advisor Services tackles how registered investment advisers (RIAs) can recruit the growing number of advisers going independent.
Study Finds Wirehouse Firms Lost Market Share in 2009
Wirehouse firms still lead the market share in the wealth management industry, but independent and regional broker/dealers are catching up, a new report found.
Former UBS Advisers Set Up RIA in Mississippi
Three former UBS wealth advisers have formed Mississippi Investment Management Company, LLC (MIMCO), a registered investment adviser (RIA) serving both affluent and institutional investors.
Bundled Fidelity 401(k) Headed for RIA Channel
Fidelity Investments has released a new bundled 401(k) platform distributed through registered investment advisers (RIAs).
Fidelity Unveils Small-Business Retirement Plans for RIAs
Fidelity Investments has announced a new Small Business Retirement Plan program for clients of registered investment advisers (RIAs).
Pershing Tool Evaluates the Health of RIA Businesses
Pershing Advisor Solutions LLC, a BNY Mellon company, said its new HealthCheck tool allows its registered investment adviser (RIA) customers to assess the operating health of their businesses.
practice management
Out of Sight?
What can a relationship with the custodian of a plan's assets offer retirement plan advisers?
Fidelity Institutional Centralizes Services to Advisers
Fidelity Investments has created a Client Experience organization within its institutional division in order to meet the “evolving demands” of independent advisers, broker/dealers, traders, and family offices.
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Team Building
Whether in your affiliation, preferred provider relationships, or participant education, with whom you choose to do business matters
RIAs Plan to Grow Business, Use More Social Media
Almost half (46%) of surveyed registered investment advisers (RIA) are looking to social media to gain new clients, according to a survey by Rydex|SGI.
servicing strategies
Annuity in 401(k) Clothing
Next best thing to a pension, or just another tired solution in a box?
Adviser Confidence in Economy Declines
In February, registered investment advisers’ (RIA) confidence in the economy and stock market was down 2% from January, according to Rydex|SGI AdvisorBenchmarking.