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Dodd-Frank Act Has Not Killed Industry Optimism
At the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting, a panel of industry executives expressed concerns about the regulations, but kept an optimistic tone.
RIA Launches “Absolute Return” Portfolios
New absolute return portfolios are designed to deliver positive performance over a reasonable timeframe regardless of the ups and downs of the market.
Derivative Consultancy Formed in New York
Joyce Frost and Frank Iacono, former executives with Morgan Stanley, along with Chris Frost, former Managing Director at Societe Generale, have formed Riverside Risk Advisors LLC.
UNIFI Hires Two Executives
UNIFI Companies announced today the appointments of Tim Stonehocker and Jim Schulz.
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Talking Points
Tired of giving the same old presentations? Use these nuggets of information to spruce them up.
Kim Adds CIO to his List of Titles
New York Life Insurance Company announced that Executive Vice President John Y. Kim, 49, will add the Chief Investment Officer post to his other duties at the end...
DailyAccess to Offer ETFs
Through a strategic alliance with Mid Atlantic Financial Platforms, Inc. (MAFP), DailyAccess Corporation is now positioned to offer exchange traded funds (ETFs) in employee benefit plans.
NRP to Be New Division of LPL
As part of the acquisition of National Retirement Partners (NRP), NRP employees will join LPL Financial to will form a new division called LPL Financial Retirement Partners.
UBS Enhances Wealth Management Americas Research with Richard Bernstein Advisors LLC
UBS Wealth Management Americas has entered into a strategic partnership with Richard Bernstein Advisors.
Rogerscasey Spinoff Brings Investment Analytics Tool to Market
A new spin-off from a familiar name is bringing an investment analytics tool to market.
Manning & Napier Advisors Names Two Top Execs
Manning & Napier Advisors has tapped Patrick Cunningham as chief executive officer and Jeff Coons as president, the Fairport, New York firm announced.
Smart401k Announces New CEO
Scott Holsopple will assume the position of chief executive officer of Smart401k immediately.
BNY Asset Management Chief Jumps to Fidelity
Ronald O'Hanley, president and CEO of BNY Asset Management is moving on—and Fidelity Investments is restructuring.
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Beneath the Surface
If you are thinking about changing affiliations, ask yourself these five questions before you accept a tempting offer