Tag: RIA

Investment services firm Charles Schwab has rolled out Schwab OpenView Mobile, a customizable application that registered investment advisers (RIAs) can use to create a mobile presence for their...

During “America Saves Week,” plan advisers can help their plan sponsors turn up the savings to better prepare for retirement.

One of the biggest mysteries haunting the industry is the impact of the revised fiduciary rule on investment product marketing for IRA rollovers.

Think people are either pre- or post-retirement? Think again. Before and after retirement is a spectrum of lifestyles and backgrounds, research says, and all types need specific messaging...

The Securities and Exchange Commission (SEC) says it has launched a previously announced initiative to audit registered investment advisers (RIAs) that have never been examined.

Research from financial analytics firm Cerulli Associates shows the individual retirement account (IRA) market could surpass $9 trillion in total assets over the next four years.

Nearly three-quarters of 401(k) assets are held in 5,000 big retirement plans, possibly affecting how defined contribution (DC) plans make investments, a report says.

JHS Capital Advisors now offers Lincoln Trust Co.’s Model(k) plan solution for broker/dealers in the small and mid-sized 401(k) market.

Commonwealth Financial Network, an independent broker/dealer and registered investment adviser (RIA) network, released Investor360 version 4.0., which features various enhancements and greater customization for advisers.

Nearly half of the average financial adviser’s book of business is made up of individual retirement accounts (IRAs), says investment analytics firm Cerulli Associates.

Over the past couple of weeks, two retirement industry providers have introduced offerings they purport to be the next trend in the evolution of retirement plan offerings.

Investment services firm OppenheimerFunds launched a unified distribution organization that features realigned channel segmentation and increased customization to support new growth strategies.

Strong market performance helped registered investment advisers (RIAs) increase practice revenues by 18% last year, and growth prospects are good for 2014.

LPL Financial LLC, an independent broker/dealer and RIA custodian, added 360 Financial to its custodial and broker/dealer platforms.

How participants deal with their 401(k) assets when they leave a company is under more scrutiny from FINRA, but retirement plan advisers are less likely to be affected...

TD Ameritrade Institutional revealed plans to develop and launch an “intelligent technology platform” for use by financial advisers.

TD Ameritrade Institutional launched a campus-to-career program to help independent advisory firms win and retain the next generation of financial services talent.

A new program from TD Ameritrade offers registered investment advisers (RIAs) a turnkey solution for simplified development and management of qualified defined contribution retirement plans.

Very few advisers have a succession plan, and it’s possible that regulation is needed to protect their clients and investors, a report says.

Risk averse and relationship wary, the young investors of Generation Y view advice and advisers with some skepticism, according to research.