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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 1/14/22
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They're coming for you (two parts), the Fiduciary Rule begins to have an impact, and everybody's talking about investing. The post FiduciaryNews.com... Read more » What Strategists Are Eyeing in Markets as Treasury Yields Spike
Treasury yields are quickly moving higher as investor expectations grow that the Federal Reserve will raise interest rates in March and follow... Read more »- Most-read stories from January 9 to January 15. Read More The post This Week’s Top 5: Morgan Stanley’s New Trainee Funnel, Three $500-Mln+... Read more »
Niche adviser bulks up with a focus on fitness coaches
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Justin Green, founder of AssistFP, has learned that developing a niche is an evolutionary process. The post Niche adviser bulks up with... Read more »- David J. Morris, a Chicago broker who left UBS for Stifel, Nicolaus & Co. in 2016, must pay his former firm the... Read more »
- Morgan Stanley picked 199 employees as new managing directors in its biggest batch of promotions to the role in a decade. Read More... Read more »
- Despite declines, the bank’s Wealth and Investment Management division’s revenues grew 6% year-over-year to $3.65 billion in the fourth quarter and profit... Read more »
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While 2021 presented several challenges, there were also many positive legislative and regulatory developments over the course of the year. The post... Read more »- Finra cited the self-directed trading platform’s failure to set up a “reasonable” detection system for sussing out clients’ manipulative trades. Read More The... Read more »
- The TWDS Group in Toledo marks at least the third Merrill Lynch team with $500 million or more in client assets to... Read more »
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They're coming for you (two parts), the Fiduciary Rule begins to have an impact, and everybody's talking about investing. The post FiduciaryNews.com... Read more » - Treasury yields are quickly moving higher as investor expectations grow that the Federal Reserve will raise interest rates in March and follow... Read more »
As Charles Schwab Corp. shares soar and Robinhood's crater, the mobile-first brokerage makes seminal move past its ‘casino' model and sells 'fiduciary' portfolios
Just days after the Menlo Park, Calif., firm nabbed ex-TDA star Steve Quirk to call shots, Robinhood announced it'll sell automated portfolio... Read more »- Most-read stories from January 9 to January 15. Read More The post This Week’s Top 5: Morgan Stanley’s New Trainee Funnel, Three $500-Mln+... Read more »
5 Types of Clients Who Could Qualify for ACA Coverage
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An Aetna executive describes the people you could get covered. Related StoriesWealth Managers: Let Personalization be Your Guide - EnclosureLong-Term Care Navigation, for... Read more »![]()
Fifty-seven percent of investors say retirement income planning is among the most important services they want from advisors, the firm found. Related Stories8... Read more »![]()
Research Affiliates and Vanguard strategists think so, due to rising inflation and interest rates. ... Read more »![]()
At least 1,000 investors were bilked out of more than $100 million over a decade, according to the Justice Department. ... Read more »![]()
The NAIC has a tool you can use to monitor that indicator and others yourself. Related StoriesJ.P. Morgan's 2022 Predictions for 5 Alternative... Read more »![]()
Humana and Securian Financial also have news. Related StoriesConnectiv Acquires Medigap Conference - EnclosureMerrill Wins $20M Arb Dispute Over American Airlines Investments -... Read more »
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