Tag: RIAs

John Hancock Financial Network said it would market itself to advisers using the name Signator Investors Inc.

The Securities and Exchange Commission (SEC) released the schedule for its upcoming Compliance Outreach Program regional seminars.

Risks and use of exchange-traded funds (ETFs) in portfolio construction: yes. Liquidity and trading of ETFs: not so much.

They make major investment decisions, understand investment products and are interested in learning about financial matters. An Allianz Life study examines women, money and power.

Frank Zukowski was appointed national sales director of Guinness Atkinson Asset Management, adviser to the Guinness Atkinson Funds.

ASPPA says a uniform fiduciary standard would cause confusion, but a coalition of other financial groups said retail customers would benefit from such a standard.  

Harmonization of rules for broker/dealers and RIAs could more than double compliance costs for independent RIAs in the first year of implementation—with little benefit to clients, a survey...

Over half the respondents in a survey said they would consider switching or starting a new adviser relationship if the adviser developed a written retirement income strategy.

Fewer than 20% of investors under the age of 40 feel they received adequate financial advice following a recent life event. 

The House Committee on Financial Services passed a bill Wednesday that would collar expected rulemaking from the Department of Labor (DOL) to amend the fiduciary definition.

Florida’s governor enacted legislation on Monday making it a notice-filing state for branch office applications.

Blake Richards of Buford, Georgia, was enjoined by a federal court from committing more violations of the securities laws.

The Confident Retirement approach created by Ameriprise Financial aims to help clients close to or actually in retirement feel more confident about their finances.

The Securities and Exchange Commission (SEC) charged Chauncey C. Mayfield with stealing nearly $3.1 million from a pension fund and using the money to buy strip malls.

A guide from the Principal Financial Group helps advisers answer common plan sponsor questions about compensation.

A white paper on asset consolidation from Principal Funds highlights opportunities for investors and financial advisers.

Rich Hunter has been named president and chief operating officer at Commonwealth Financial Network, effective immediately.

LPL Financial adopted an annuity visualizer by Lincoln Financial Group to help its advisers explain the benefits and the different rider options of annuities.    

Chinese Americans are great at saving, according to research from Wells Fargo, but fewer than half of survey respondents have a written financial plan.

A coalition of organizations urged Mary Jo White, chairman of the Securities and Exchange Commission (SEC), to establish a uniform fiduciary standard for broker/dealers and advisers.