Tag: RIAs

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.

Stadion Money Management has added a 401(k) managed account solution to Nationwide’s RIA Managed Accounts Services Platform.

Global Financial Private Capital rolled out Legacy Lock and Adviser to Adviser Continuity, two succession and business continuity programs for partner advisers.

Christopher Englebert and Daniel Reitz have joined Beirne Wealth Consulting (BWC), a Milford, Connecticut-based consulting firm and member of Focus Financial Partners LLC’s independent wealth management network.

Most Boomers mistakenly think the Affordable Care Act covers the costs of long-term care in retirement, a survey says. 

An account platform from Gemini Alternative Funds LLC, a subsidiary of Northstar Financial Services Group, provides investment advisers with centralized access to alternative investments.

RCS Capital Corporation (RCAP) will purchase J.P. Turner & Company LLC, an independent broker/dealer and investment banking firm, and its affiliated advisory company for $27 million in aggregate...

In a move expected to create one of the largest broker/dealer networks in existence, RCS Capital Corporation (RCAP) is set to acquire Cetera Financial Group for $1.15 billion.

Signs of a brightening economy include investors planning to buy cars or homes, and making travel plans, a survey says.

An updated mobile application from LPL Financial LLC provides better access to financial and market data, along with a new secure messaging system for communicating with clients.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.