Tag: RIAs

Fred Reish, a partner at Drinker Biddle & Reath, the Los Angeles law firm, has launched fredreish.com, a blog about retirement regulation and compliance.

Americans are taking on more risk than they would prefer, according to a study by Northwestern Mutual.

The LiveWell Plus Mutual Fund IRA was launched by Sammons Retirement Solutions Inc. to help advisers gather retirement assets and provide a savings boost.

Institutional investors and registered investment advisers (RIAs) are increasingly using business development company (BDC) stocks, according to a source.

Roger W. Harrington joined Williams Financial Group, creating a new firm, Harrington Capital Management LLC in Dallas.

Charles Schwab released the Android version of its Schwab Advisor Center app for independent investment advisers who work with Schwab Advisor Services.

The youngest affluent investors don’t watch TV, listen to the radio or read newspapers. So how do advisers engage Generation Y?

Scott Collins has been named director of adviser transitions for TD Ameritrade Institutional.

Advisers may think they are recommending the best products, but what do their clients think of the advice?

Mutual fund and exchange-traded fund (ETF) assets through broker/dealers and registered investment advisers (RIAs) had more than 30% growth in 2012 than wirehouses.

Advisers are gearing up for growth with technology investments, customer service and training, according to a survey by TD Ameritrade.  

 Registered investment advisers (RIAs) and dually registered advisers are the fastest-growing channels, according to research from Cerulli Associates in Boston.   

Less than half (43%) of Americans who are actively planning for retirement intend to meet with a financial adviser to review investment strategies this year.

 Institutional Securities Corporation (ISC) has been acquired by a team led by Scott A. Hayes, the firm’s executive vice president.   

Marcello Cosentino expanded Security Benefit Corporation’s registered independent adviser (RIA) and independent broker/dealer channel with four states.   

LPL Financial LLC announced the departure of Bill Dwyer, president of national sales, who has decided to pursue other personal and professional interests.

Penton’s Advisor Confidence Index (ACI), which measures advisers’ views on the economy and the stock market, rose by 8.4% in February.

The ripest sales opportunities for advisers may be men and women, age 35 to 64, with incomes of $150,000 to $249,000, according to Nationwide Financial.

Praxis Fiduciary Advisors LLC in Carmel, Indiana, changed its name to ProCourse Fiduciary Advisors LLC.