Tag: RIA

CAPTRUST and Pensionmark Retirement Group will create a new entity intended to be the industry’s premier platform for retirement plan advisers.

Less than a quarter of wirehouse advisers control nearly half of all traditionally advised assets, says Cerulli Associates in a new report. 

Charles Schwab launched an automated investment advisory service, Schwab Intelligent Portfolios, aimed at simplifying client portfolio maintenance.

President Barack Obama said he expects opposition from special interest groups to the pending fiduciary rule, even though specifics of the rulemaking have not yet been disclosed.

Independent financial advisory practice, Ellsworth Private Wealth Management, has transitioned to LPL Financial’s broker/dealer platform.

Total financial adviser headcount has decreased for a fifth consecutive year, according to research from Cerulli Associates.

Salient Partners announced it will acquire Forward Management, an independent asset management firm based in San Francisco and investment adviser to the Forward Funds.

Wellspring Advisor Group is the newest addition to the LPL Financial broker/dealer platform.

Total financial adviser headcount continues to decline despite strong asset growth for the advisory industry in recent years, according to Cerulli Associates.

Pershing rolled out the Retirement Plan Network, which aims to help broker/dealers, investment advisers and registered investment advisers (RIAs) expand their retirement business.

Advisers should look to Millennials—even those who haven’t yet become wealthy—as the next promising and uncrowded market, a survey by TD Ameritrade says.

The Securities and Exchange Commission (SEC) released examination priorities for 2015 in the shortest form ever: just five pages.

Research from Cerulli Associates predicts the combined asset marketshare of independent advisers will surpass that of wirehouse advisers by 2019.

An agreement signed with Pensionmark seals a partnership between the national firm and a St. Paul, Minnesota-based independent advisory practice, SevenHills Benefit Partners.

Many retirees find the retirement life brings more satisfaction and less worry than they anticipated, MassMutual says in a survey report.

Omniscient Enterprise Advisor, a platform designed to help financial advisers and registered independent advisers (RIAs) expand and scale their businesses, was introduced by Omni Alliance Inc.

Advisers can play a big part in helping women cope after the death of a spouse, according to New York Life Insurance Company.

Goss Wealth Management, a four-adviser team led by Jerry Goss, has transitioned to the LPL broker/dealer and hybrid RIA custodial platform.

Advanced Capital Group (ACG), a registered investment advisory firm, is opening an office in Chicago, Illinois.

Markov Processes International (MPI) has released its MPI Stylus Web research system as a mobile application (app) for the iPad, Android and Microsoft Surface tablet devices.