Tag: RIAs

EPIC Advisors, a 401(k) plan recordkeeping firm, has appointed Carolyn Richardson as a sales consultant. 

The Charles Schwab Independent Advisor Outlook Study indicates that while advisers see cause to be optimistic, their clients are more unsure.  

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

White Horse Advisors, LLC is now an SEC-registered investment advisor (RIA).

Most (68%) registered investment advisers (RIAs) said they have increased the number of clients over the last six months, up 13% over the previous quarter, according to a...

CapTrust Advisors, LLC, announced that James (Jeb) E. Graham is now a firm partner.

Pershing LLC, a BNY Mellon company, has launched an educational initiative about international investing to help its introducing broker/dealer (IBD) and independent registered investment adviser (RIA) customers capitalize...

While most surveyed registered investment advisers (RIAs) said succession planning is important to their clients, less than half of RIAs have a formal plan.

linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.

Triad Advisors announced that it is now affiliated with Gitterman & Associates Wealth Management, LLC.

Steven D. Cox has joined Columbus, Ohio-based NUA Advisors, LLC, to establish a Midwest division of NUA’s Qualified Retirement Planning Group.

Independent registered investment advisers (RIAs) who custody assets with TD AMERITRADE Institutional now have access to the Valuation Analyzer, an online tool to help advisers estimate their firm’s...

The latest whitepaper from Charles Schwab Advisor Services tackles how registered investment advisers (RIAs) can recruit the growing number of advisers going independent.

Wirehouse firms still lead the market share in the wealth management industry, but independent and regional broker/dealers are catching up, a new report found.

Three former UBS wealth advisers have formed Mississippi Investment Management Company, LLC (MIMCO), a registered investment adviser (RIA) serving both affluent and institutional investors.

Fidelity Investments has released a new bundled 401(k) platform distributed through registered investment advisers (RIAs).

Fidelity Investments has announced a new Small Business Retirement Plan program for clients of registered investment advisers (RIAs).

Pershing Advisor Solutions LLC, a BNY Mellon company, said its new HealthCheck tool allows its registered investment adviser (RIA) customers to assess the operating health of their businesses.

Fidelity Investments has created a Client Experience organization within its institutional division in order to meet the “evolving demands” of independent advisers, broker/dealers, traders, and family offices.