Tag: RIA

More than half of independent advisers said their clients have modified their expectations of retirement lifestyle or plan to delay retirement, according to a survey by Curian Capital,...

Charles Schwab and Co., Inc., said it is releasing two Schwab Market Knowledge Tools reports to help registered investment advisers (RIAs) tackle succession planning and understand M&A deal...

Now that the storm has subsided, independent advisers are putting more focus on their business, such as marketing and technology, according to a survey by TD AMERITRADE Institutional.

If implemented, financial advisers said a fiduciary standard would put an increased focus on financial planning and fee-based advisory services, according to an industry report.

Charles Goldman, who joined Fidelity from Charles Schwab about a year ago, plans to leave the company at the end of March, according to news reports.

Retirement Plan Advisory Group (RPAG) has recruited David W. Stecher as national practice leader for Executive Benefits Consulting.

LPL Financial Corporation said that Derek Bruton, executive vice president and national sales manager, has assumed oversight of the company's Hybrid RIA platform.

Sallie Krawcheck, head of the global wealth and investment management division at Bank of America (BofA), said reports of brokers leaving in droves are greatly exaggerated, Reuters reported.

ERISA Fiduciary Advisors, Inc., has hired a new manager to focus on sales and consulting in the northeastern United States.

Kring Financial Management has developed a solution for investors who want to manage their retirement plan investments proactively.

The vendor Advisor Software, Inc., said it will expand its offering to registered investment advisers (RIAs) with the acquisition of asset management firm Advisor Partners, LLC.

A new report suggests that more financial advisers (FAs) at the national broker/dealers (B/Ds) are reluctant to follow home office model portfolio recommendations. 

Merger and acquisitions (M&A) among registered investment advisory (RIA) firms has slowed, but firms are poised for resurgence, according to a new industry study.

Scottrade now touts a larger selection of institutional class mutual funds for registered investment advisers (RIA) to choose from.

An outgrowth of the firm RIA In A Box, the new firm Lexington Compliance aims to support registered investment advisers (RIAs) with management and review of compliance requirements.

Delta Global Asset Management, a registered investment advisory (RIA) firm, selected FundQuest to provide outsourced technology, back-office, and investment research services.

Fidelity Investments said it expanded its Transition Solutions program, which gives brokers information about independent business models.

MG Advisory Services, LLC, a provider of products and services to financial advisers, broker/dealers, and TPAs, has expanded its RetireTool(k)it product to include plan proposals explaining the open-architecture...

Focus Financial Partners, LLC (Focus), a network of independent wealth management firms, added Joel Isaacson & Co., Inc., to its partner firms.