New Business Offers RIA Compliance Services
An outgrowth of the firm RIA In A Box, the new firm Lexington Compliance aims to support registered investment advisers (RIAs) with management and review of compliance requirements.
Tag: RIAs
Delta Global Asset Management Offers FundQuest's Services
Delta Global Asset Management, a registered investment advisory (RIA) firm, selected FundQuest to provide outsourced technology, back-office, and investment research services.
Fidelity Adds Tools for Brokers Considering Independence
Fidelity Investments said it expanded its Transition Solutions program, which gives brokers information about independent business models.
MG Advisory Services Adds Plan Proposals to RetireTool(k)it
MG Advisory Services, LLC, a provider of products and services to financial advisers, broker/dealers, and TPAs, has expanded its RetireTool(k)it product to include plan proposals explaining the open-architecture...
Focus Financial Partners Acquires Joel Isaacson
Focus Financial Partners, LLC (Focus), a network of independent wealth management firms, added Joel Isaacson & Co., Inc., to its partner firms.
Fidelity Introduces Market Intelligence Program for Advisers
Fidelity Investments has rolled out a program to give financial advisers and brokers access to market intelligence and industry insights about topics such as retirement planning.
Envestnet Introduces Retirement Income Solution
Envestnet has unveiled a retirement income solution for registered investment advisers (RIAs) to help clients plan for retirement.
Wirehouse Movement Slows in October
Brokers are switching firms at a slower pace, and the largest number still go to another wirehouse firm rather than a new advisory channel, according to the Discovery...
SEI Enhances Technology Offering for Advisers
SEI Advisor Network’s new Service Delivery Initiative aims to help advisers with electronic proposal generation, statement and account level reporting, and transaction automation.
Citi Advisers Will Switch to Fee-Only, Partner with RIAs
Citi announced that financial advisers at Citibank branches will no longer provide commission-based transactions.
Independent Advisers Feel Good about Future
It’s been a challenging year, but independent registered investment advisers (RIAs) are optimistic, according to a quarterly survey by TD AMERITRADE Institutional.
The Wiley Group is Now Independent RIA
The Wiley Group ended a long relationship with Morgan Stanley Smith Barney to form a fully independent registered investment adviser.
New Commonwealth Platform Lets Advisers Pick Provider
Commonwealth Financial Network introduced a “vendor-agnostic,” fee-based retirement platform.
PANC 2009: Finding the Right Business Model
It’s often said that freedom comes with a price, and for some financial advisers, the price is worth it.
TD AMERITRADE Offers Tool for Advisers Considering Independence
TD AMERITRADE Institutional launched a transition tool for breakaway brokers.
RIA In A Box Offers Advertising Compliance Review to RIAs
Consulting firm RIA In A Box said it will begin providing review services to help registered investment advisers (RIAs) ensure advertising materials are in compliance.
Removing Probability from the Risk Equation
Financial risk should be redefined to be viewed as the potential to lose money, rather than the average return, said Tim Knepp, CIO of Genworth Financial Asset Management,...
Independent Advisers Report More Optimism
Forty-one percent of independent investment advisers reported that retired clients are reducing the amount of their retirement distributions, according to a study by Charles Schwab.
ExpertPlan Partners with Schwab to Reach RIAs
ExpertPlan and Charles Schwab Trust Company (CSTC) have teamed up to create a new trading platform under which Schwab will perform custody, trust, and clearing services for plans...