Advisers Find Outsourcing Key to Growing Practices
Technology, investment management, and legal and compliance are the top three areas where advisory practices often turn to outside experts, according to Fidelity.
Tag: Business model
Sellers’ Market Brings Succession Planning to the Fore
RIA industry analysts and executives agree that it’s a “sellers’ market” when it comes to acquisitions and mergers among independent...
Introducing the 2019 PLANADVISER Top 100 Retirement Plan Advisers List
This list includes advisers who reach the top of their respective peer groups in terms of assets under advisement or...
Trendspotting
Client Trust Pays Unexpected Dividends
Advisers now often measure their value beyond investment savvy
Recordkeeping Clients of BB&T and SunTrust Wait for More Merger News
The recently-announced merger between BB&T and SunTrust will create the sixth-largest retail banking organization in the U.S.; both firms also have a presence in the DC plan recordkeeping...
Former SEC Enforcer Reviews Regulator’s 2019 Agenda
During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted...
Former Lead FINRA Enforcer Dissects Regulator’s 2019 Priorities Letter
In a Q&A with PLANADVISER, Mirella deRose draws on her experience leading FINRA enforcement in describing what she sees as the most important elements of the regulator’s recently...
State-Based Fiduciary Regulations Take Shape in 2019
Regulators and legislators in a growing number of states say they are acting to fill a perceived void created by...
Advisers Can Benefit From Asset Manager M&A Trends
One key M&A trend identified in a new PwC report is the growing prevalence of large asset management and/or private equity entities making minority-stake investments in wealth management...
Bogle’s Death Shines Light on a Persistent Fee Debate
The death of Vanguard Group founder Jack Bogle offers a chance to reflect on the long-standing debate regarding passive and active management and the role of controlling fees...
Fidelity M&A Report Counts Fewer, Far Bigger Deals Among RIAs and IBDs
Fidelity’s 2019 Wealth Management M&A Transaction Report shows there were 23 RIA deals inked during the year worth $1 billion or more.
‘Decumulation Challenge’ May Drive Next-Gen Digital Advice
CFB Board sees decumulation as a likely driver of digital advice innovation, especially as an aging population creates a need for more efficient and effective services.
RBG and Triad Discuss Recently Confirmed Affiliation
Triad and Resources Investment Advisors say the recruitment of Retirement Benefits Group reflects the way retirement-focused advisers are seeking integrated practice management solutions and hands-on support from brokerage...
Sheridan Road Financial Sells Practice
The specialist retirement plan and private wealth advisory firm has been acquired by HUB International Limited.
SEC Regulation Best Interest Called a 2019 Priority by Chair Clayton
For retirement industry fiduciary advisers, the SEC’s introduction in April of a proposed Regulation Best Interest was one of the seminal moments of 2018; the regulation will likely...
LPL Cuts Small Market Platform Fee Amid Competition for Talent
By cutting the fee for its small-plan investment outsourcing solution to 10 basis points, the firm says it will better position its advisers to grow their practices by...
Redtail Survey Shows Increased Use of Mobile CRM Solutions
Advisers discuss the software their firms currently use, how they access client information, and how succession planning figures into the future of their practices.
Ascensus Maps the Pros and Cons of Advising Small DC Plans
A lot is happening to open the doors for small businesses to offer retirement plans to employees; advisers have new opportunities and challenges as a result.