Tag: RIA

Charles Schwab issued a report today that examines how independent registered investment adviser (RIA) firms can benefit from segmenting their client base and offers strategies on how to...

New services from TD Ameritrade Institutional are designed to help independent registered investment advisers (RIAs) and third-party administrators (TPAs) grow their retirement plan business and better meet the...

RIA in a Box, a registered investment adviser (RIA) consultancy firm, has partnered with Lloyds of London and the North American Professional Liability Insurance Agency (NAPLIA) to provide errors...

Brian Davis has been promoted to head of Scottrade Adviser Services, a division of the firm that offers institutional trading and custodial services to independent registered investment advisers...

Former Mercer outsourcing principals Peter Gosselin, Shawn Charles, and Julie Doran have formed Gosselin Consulting Group LLC, an independent, full-service institutional investment consulting firm.

National Financial, a Fidelity Investments company and provider of custody and clearing services to broker/dealers, announced a suite of fee-based trading capabilities into its Streetscape brokerage workstation.

Fidelity WealthCentral, a hub for registered investment advisers (RIAs) to use third-party solutions, has partnered with Black Diamond for use of its BlueSky system.

A new Fidelity program, “Expand Your Practice,” is intended to help registered investment advisers (RIAs) analyze their readiness to grow through mergers, acquisitions, or hiring new people.

The Unified Managed Account Exchange, UMAX, will provide independent registered investment advisers (RIAs) with more flexibility and allow them to expand investment options for clients.

A survey conducted by Rydex|SGI's AdvisorBenchmarking of 427 registered investment adviser (RIA) firms found their average assets under management (AUM) increased by 28% from 2008 to 2009.  

EPIC Advisors, a 401(k) plan recordkeeping firm, has appointed Carolyn Richardson as a sales consultant. 

The Charles Schwab Independent Advisor Outlook Study indicates that while advisers see cause to be optimistic, their clients are more unsure.  

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

White Horse Advisors, LLC is now an SEC-registered investment advisor (RIA).

Most (68%) registered investment advisers (RIAs) said they have increased the number of clients over the last six months, up 13% over the previous quarter, according to a...

CapTrust Advisors, LLC, announced that James (Jeb) E. Graham is now a firm partner.

Pershing LLC, a BNY Mellon company, has launched an educational initiative about international investing to help its introducing broker/dealer (IBD) and independent registered investment adviser (RIA) customers capitalize...

While most surveyed registered investment advisers (RIAs) said succession planning is important to their clients, less than half of RIAs have a formal plan.

linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.