Tag: RIAs

TD AMERITRADE Institutional launched a transition tool for breakaway brokers.

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.

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,...

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 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...

The PNC Financial Services Group, Inc., has announced its intention to merge Allegiant Asset Management Company with its affiliate, PNC Capital Advisors, Inc., on or about...

Investment advisers who custody with Charles Schwab can now access a Web site boasting more intuitive tools to manage client accounts.

Another advisory group braves the frontiers of being an independent firm.

Three former representatives of Morgan Stanley Smith Barney (MSSB) have left the firm to form Three Bridge Wealth Advisors in Menlo Park, California.

ShareBuilder 401k, provider of 401(k) plans for businesses with one to 250 employees, has introduced a 401(k) offering to be sold through registered investment advisers (RIAs).

While most advisers offer employer benefits retirement planning services, only a quarter of clients use those services, according to research from Cerulli Associates.

While moving to independence is easier for advisers than ever before, it’s still not exactly easy.

Although growth was a little slower this past year, 84% of independent registered investment advisers (RIAs) expect to grow moderately or faster over the next five years, according...

Fee-based advisers expect growth in demand for fee-based advisory services and managed accounts, according to a survey from Jefferson National.

In an effort to grow in the mid-market space, ING's U.S. Retirement Services operations launched a series of educational roundtable discussions for mid-market retirement plan consultants and registered...

Independent registered investment advisers (RIAs) continue to report firm growth and are looking for more revenue through forming strategic alliances and recruitment, according to a survey by TD...

Scottrade Advisor Services said it introduced its Advisor Services Web platform with upgraded trading and account management resources.

Charles Schwab announced a series of initiatives it said are designed to help independent advisers grow their businesses in today's rough environment.

Just six months ago, business growth concern was the number one business concern among registered investment advisers (RIAs)—but now regulation has taken center stage.

Pershing said it expanded its suite of managed account solutions to provide advisers with access to a diverse list of money managers and a broad spectrum of managed...