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RIA Industry News from around the Nation
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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/18/21
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Social Security becomes relevant again, the Fiduciary Rule changes again, and fees are a problem again. The post FiduciaryNews.com Trending Topics for... Read more » This Week’s Top 5: Morgan Stanley, Merrill Honchos Tout Divergent Recruiting Strategies
Most-read stories from June 13 to June 19. Read More The post This Week’s Top 5: Morgan Stanley, Merrill Honchos Tout Divergent Recruiting... Read more »- Duo had been generating $5.3 million in annual revenue at the time of their move to Wells in January 2020. Read More The... Read more »
- The peekaboo into where else the wealth lies potentially could help spur firms’ increases in client wallet share, according to Bank of... Read more »
- Bank of America Corp. joined JPMorgan Chase & Co. and Wells Fargo & Co. in closing offices for Juneteenth starting next year... Read more »
- Wells duo had managed $780 million and said the move was a “natural fit” since they already ran their own balance sheet... Read more »
- “The scary part–and I'll just be perfectly open–about putting those numbers out there, is what if we don't quite make them,” CEO... Read more »
- The group is led by Kevin E. McGuire, who had helmed the private bank’s Colorado Technology Vertical and Boulder Team from Denver.... Read more »
New York IARs register with state for first time
Two deadlines are looming this summer for investment adviser representatives working in New York state related to the new regulation, which will... Read more »- Citing a robust pipeline of potential deals, the aggregator raised its debt level to $2.4 billion in order to stay active in... Read more »
NEWS
Weekend Reading for Financial Planners (June 19-20)Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the big industry news that... Read more »
Morgan Stanley Forcing You Back to the Office?
Maybe it is time to transition or to go independent. Call the broker transition lawyers at Sallah Astarita & Cox for a... Read more »
- Kitces & Carl Ep 62: Do Vision And Mission Statements Really Matter For Advisory Firms?
Although “statements of purpose” have, in one form or another, been around for centuries, it wasn’t until the 1970s (and especially into... Read more »
- Managing Clients That Use Other (Conflicting) Sources Of Advice
Humans are social creatures, and as such, we like to make decisions when we are backed with social support. This very much... Read more »
In recognition of World Elder Abuse Awareness Day, the U.S. Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA),... Read more »
BLOGS
What Should You Know About Cryptocurrencies and NFTsWhat's Happening Today
Updated Hourly RIA News
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Social Security becomes relevant again, the Fiduciary Rule changes again, and fees are a problem again. The post FiduciaryNews.com Trending Topics for... Read more » Roth IRA vs. Roth 401(k): Which Is Best for Your Clients?
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In some cases, both types of Roth accounts can be used together to help accomplish your client's goals. Related StoriesWorld's Richest Face Tax... Read more »![]()
Vincent Crudo tells ThinkAdvisor how work helped him maintain optimism and why he switched firms during the pandemic. Related StoriesInflation? Bring It On,... Read more »- Most-read stories from June 13 to June 19. Read More The post This Week’s Top 5: Morgan Stanley, Merrill Honchos Tout Divergent Recruiting... Read more »
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Advisors can charge performance fees only to clients who exceed this threshold in AUM or net worth. Related StoriesCoherent Makes Push Into U.S... Read more »![]()
Financial advisors will find themselves having to provide aging clients with more support in daily money matters. Related StoriesWhy Long-Term Care Cost Reports... Read more »![]()
The Wharton finance professor expects prices to rise 20% or more over the next three to four years. Related StoriesSwiss Re Sees $408... Read more »![]()
Protective Life has a new chief risk office, and Baltimore Life has a new chief actuary. Related StoriesCoherent Makes Push Into U.S Market... Read more »![]()
St. Louis Fed President said he sees the Federal Reserve moving to raise interest rates late next year. Related StoriesSwiss Re Sees $408... Read more »![]()
A majority of American voters across the political spectrum agree retirement security is a problem, the Economic Innovation Group has found. Related StoriesNew... Read more »
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