Three Big Concerns Of RIAs

Regulatory changes, the economy and profitability are the top business concerns over the next year of registered investment advisors, says a survey released today by TD Ameritrade Institutional.

Past NAPFA President Charged In Kickback Scheme

A former NAPFA president has been charged with taking kickbacks from unregistered investment pools in which his Wisconsin advisory firm placed $102 million in client assets. 

RIAs Hard To Police; Expect FINRA To Step In

A report released Monday by TowerGroup predicts FINRA audits of registered investment advisors, which in turn would mean higher compliance costs for RIA firms.

Schwab Cuts Fund Fees

Charles Schwab Investment Management says it will slash the expenses on six of its equity index funds.

Many Millionaires Now Ready To Invest

Almost half of U.S. millionaires do not feel wealthy but do feel confident to invest in the stock market, according to a new Fidelity survey.

Advisor Emporium

Fidelity Benchmarks Technology Use Fidelity Investments is launching a Technology Benchmark Evaluator to help registered investment advisors benchmark their use and...

Advisor Emporium

Tool Combines Outlook With Planning AdviceAmerica, based in Fremont, Calif...

Fiduciary Fracas

Let the food fight begin...

Advisors Urge Clients To Stay In Market

A large majority of registered investment advisors are not cashing out their clients' investments despite the current market problems ...

Fidelity's RIA Business Excelled Last Year

Fidelity Investments today announced record results in 2008 for its businesses serving registered ...

Independent RIAs Gain Clients In Troubled Times

More than 90% of independent registered investment advisors won new clients during the past six months ...

New Schwab Center Opens At Texas Tech

Texas Tech University's College of Human Sciences has opened the new Charles Schwab Personal Financial ...

Advisor Emporium

Ex-Schwab Exec Goldman Joins Fidelity

Charles Goldman recently left Schwab Institutional after he was the odd man out in an organizational reshuffling ...

War Breaks Out For Wirehouse Brokers

The fee-based/fee-only RIA models are the practices of choice for high-end advisors with an entrepreneurial spirit.

Disclose, Baby, Disclose

Compliance issues can be a challenge for someone switching from a wirehouse to an independent advisor platform.

The Big Chill

Advisor M&A feels the freeze from the financial services debacle.

A Better Way

Spire Investment Partners is attracting far-flung groups of breakaway brokers to the advisory firm.

FRONTLINE NEWS

Fiduciary Network Buys Stake In Brouwer, Janachowski Fiduciary Network has purchased a minority equity position in Brouwer, Janachowski & Co...

Custodians Beef It Up

Advisors are looking for quicker, cheaper and more innovative programs from their custodians to help their clients.