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RIA Industry News from around the Nation
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How Should Pre-Retirees Define ‘Comfortable’ Retirement?
Those who work with retirees and people saving for retirement often have the best perspective when it comes to guidance pertaining to... Read more »
Published: July 6, 2022 - 4:03 am Gold Drops to Six-Month Low as Dollar Surges on Recession Fear
Gold slumped to the lowest in more than six months as the dollar rallied amid growing recession fears that caused losses across... Read more »Published: July 5, 2022 - 9:36 pmNew ETFs only invest at night and aim for dreamy returns
The NightShares strategy involves buying the index at the end of the day and selling it every morning.... Read more »
Published: July 5, 2022 - 6:24 pmEdward Jones’ Top Broker Takes Her $1.7-Bln Book to Ameriprise
Jennifer A. Marcontell had been with Edward Jones for all of her 22-year career and marks a rare departure from the St.... Read more »Published: July 5, 2022 - 5:55 pmUBS Scoops Up Two Merrill Teams with $11.3-Mln Production in Colorado
In a flurry of Merrill departures leading up to the long July 4th weekend, Wells Fargo and RBC also landed three solo... Read more »Published: July 5, 2022 - 3:41 pmFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 7/1/22
New rules, old problems, and extreme markets lead to extreme advice. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending... Read more »
Published: July 5, 2022 - 4:01 amJPMorgan Boosts Global Wealth Bet With Citi, Credit Suisse Hires
JPMorgan Chase & Co. recruited Citigroup Inc. and Credit Suisse Group AG executives for its private bank, bolstering an effort to win... Read more »Published: July 4, 2022 - 10:27 pmNinety-Year-Old Morgan Stanley Broker Arrested After Shooting Colleague
An employee at the Oklahoma City branch said that the dispute may have involved shared customer accounts, according to a local news... Read more »Published: July 3, 2022 - 5:07 pmMorgan Stanley Broker with $220-Mln Book Flits to J.P. Morgan in Miami
A Morgan Stanley broker managing $220 million in assets has jumped to J.P. Morgan Advisors in Miami. Torren J. Szuluk,… Read More The... Read more »Published: July 1, 2022 - 5:33 pmIt’s not too late to join the liquid alts party, Morningstar says
Key to allocating to funds employing alternative strategies is knowing what to expect and not trying to time investments.... Read more »
Published: July 1, 2022 - 4:12 pmPrice Check: RIA Aggregator Stocks Sinking Faster Than The Market at Midyear
Stock prices for CI Financial and Focus Financial Partners are down 50% and 44% year to date, respectively, while the S&P 500... Read more »Published: July 1, 2022 - 4:02 pmFired D.E. Shaw Fund Manager Michalow Wins $52 Million From Firm
Daniel Michalow, the veteran fund manager fired by D.E. Shaw & Co. in 2018, won $52.1 million Wednesday from the firm, likely... Read more »Published: June 30, 2022 - 8:48 pmWells Fargo FiNet Pulls in $5-Mln UBS Team in New Hampshire
Three-advisor Manchester, New Hampshire team led by 24-year veteran Doug Frizzell joined Wells Fargo’s independent channel from UBS. Read More The post Wells... Read more »Published: June 30, 2022 - 6:57 pmFinra Raps Ex-Morgan Stanley Broker Who Said Deceased Client Had Authorized Distributions
The Financial Industry Regulatory Authority showed little sympathy for a 36-year industry veteran in Michigan who it alleged falsely identified… Read More The... Read more »Published: June 30, 2022 - 3:22 pmA happenstance focus on wealthy widows
Spuds Powell defies popular thinking with the niche client base he's built, one that he says makes both him and his clients... Read more »
Published: June 29, 2022 - 6:21 pmAdvisers finding value in joining smaller firms
Smaller B-Ds and independent RIAs give advisers a platform for more strategic growth as well as a more attentive and supportive environment.... Read more »
Published: June 29, 2022 - 12:28 pm5 401k Differences To Expect In 5 Years
Do you think five years is too ambitious of a time frame? If so, consider this: five years ago, would you have... Read more »
Published: June 28, 2022 - 4:05 amHybrid merger creates RIA managing $350 million
Oklahoma, Texas firms form Gaddis Premier Wealth Advisors. David Reed will serve as CEO of the new firm.... Read more »
Published: June 27, 2022 - 3:50 pmFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/24/22
Regulatory fireworks, flight delays for fiduciary, and once popular investments getting grilled. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week... Read more »
Published: June 27, 2022 - 4:03 amIAA snapshot portrays a thriving RIA sector
The number of registered investment advisers, the clients they serve and the assets they manage all reached records in 2021, according to... Read more »
Published: June 23, 2022 - 6:14 pmEconomic uncertainty puts alternative investments front and center
Financial advisers say clients are asking about alternatives to the standard investments in stocks and bonds.... Read more »
Published: June 22, 2022 - 5:39 pmLos Angeles hybrid managing $300 million goes to LPL from MML
Aligne Wealth Advisors Investment Management is headquartered in Century City, California.... Read more »
Published: June 22, 2022 - 2:53 pmThe trouble with tech integration
More than half of advisers say the lack of integration between their core applications is the biggest pain point with technology.... Read more »
Published: June 21, 2022 - 6:16 pmSuccession plan services gain traction as a tool for recruiting, making acquisitions
With more than $10 trillion seen in motion over the next decade as advisers retire, Cerulli expects acquiring firms to make succession... Read more »
Published: June 21, 2022 - 4:17 pmHub acquires $205 million Pennsylvania RIA
Michael Finnell, president of Heritage Wealth Management Group, and the Heritage team will join Hub.... Read more »
Published: June 21, 2022 - 2:32 pmWhy Are 401k PEPs Growing At A Slower Than Expected Rate?
There’s a fear that those rushing to promote their own PEPs are merely trying to return to the bundle service provider environment... Read more »
Published: June 21, 2022 - 4:05 amA bear market is not the time to hibernate
In the turmoil and economic uncertainty surrounding a bear market, guidance from a trusted financial adviser is more valuable than ever.... Read more »
Published: June 20, 2022 - 12:05 pmFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/17/22
New regs coming, what's a "fiduciary," and the bigger the ESG, the harder it falls. The post FiduciaryNews.com Trending Topics for ERISA... Read more »
Published: June 20, 2022 - 4:03 amTyrone Ross continues to bang the crypto drum with new ventures
The former Onramp exec is more bullish than ever on digital assets, which is why he's launching new businesses to capitalize on... Read more »
Published: June 17, 2022 - 4:56 pmNew LPL program gives advisers more tools to attract, serve the rich
The Private Client Service Network will help select LPL advisers assist their clients with such tasks as the sale of small or... Read more »
Published: June 16, 2022 - 4:38 pm
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Merrill Lynch finally invests in iCapital but at the non-early bird special share price
The Bank of America-owned wirehouse paid at a $6 billion valuation after Andy Sieg and Lawrence Calcano had a 'great conversation' over... Read more »Published: July 6, 2022 - 11:38 am - ●
How Should Pre-Retirees Define ‘Comfortable’ Retirement?
Those who work with retirees and people saving for retirement often have the best perspective when it comes to guidance pertaining to... Read more »
Published: July 6, 2022 - 4:03 am Never-Ending Stock Market Churn Keeps Pushing Bottom Targets Lower
Strategas Securities looked at data from nine decades and found virtually no reason to believe the current market rout is over. ... Read more »
Published: July 5, 2022 - 10:18 pm5 States Where Working-Age COVID-19 Hospitalizations Are Surging
Among states, figures range from a decrease of about 67% to an increase of 97%. Related Stories10 Cities Where COVID-19 May Be at... Read more »
Published: July 5, 2022 - 10:01 pm6 Steps to Help Clients Plan for an Early Retirement
Identifying a client's goals, income sources and anticipated expenses is essential to developing a financial plan. Related StoriesWhat Medicare Part A and Part... Read more »
Published: July 5, 2022 - 9:38 pmGold Drops to Six-Month Low as Dollar Surges on Recession Fear
Gold slumped to the lowest in more than six months as the dollar rallied amid growing recession fears that caused losses across... Read more »Published: July 5, 2022 - 9:36 pmMedicare Advantage Agents Will Have to Record Calls by Oct. 1
The new federal regulations will also apply to sellers of Medicare Part D drug coverage. Related StoriesWhat Medicare Part A and Part Leave... Read more »
Published: July 5, 2022 - 9:13 pmMorgan Stanley Fires 90-Year-Old Broker Arrested for Shooting Business Partner
Leonard David Bernstein shot Chris Bayouth as many as five times, according to police. Related StoriesEx-Broker Pleads Guilty to Bilking More Than 100... Read more »
Published: July 5, 2022 - 8:17 pmRecession Fears Boost Treasuries; Commodities Drop
The odds of a U.S. recession in the next year are now 38%, according to latest forecasts from Bloomberg Economics. Related Stories10 Ways... Read more »
Published: July 5, 2022 - 7:57 pmAmericans Underestimate Two Major Kinds of Retirement Risk
A Fidelity analyst has come out with a quick guide to what typical U.S. investors are missing. Related StoriesBuyers Still Want Life and... Read more »
Published: July 5, 2022 - 7:52 pm12 Hottest Rental Markets in the U.S.
A steady influx of renters and low turnover have sparked red-hot competition in regions across the country. Related Stories12 Most Affordable U.S. States:... Read more »
Published: July 5, 2022 - 7:27 pm12 Most Affordable U.S. States: 2022
Average pay is at least 30% higher than the cost of living in these states, a job search site reports. Related Stories12 Least... Read more »
Published: July 5, 2022 - 6:55 pmEdward Jones’ Top Broker Takes Her $1.7-Bln Book to Ameriprise
Jennifer A. Marcontell had been with Edward Jones for all of her 22-year career and marks a rare departure from the St.... Read more »Published: July 5, 2022 - 5:55 pm4 Tips to Avoid Rollover Problems Under New DOL Rule
Here's how to make your rollover process compliant, according to lawyer Fred Reish and other compliance pros. Related StoriesNew DOL Fiduciary Rule Pushed... Read more »
Published: July 5, 2022 - 3:53 pmUBS Scoops Up Two Merrill Teams with $11.3-Mln Production in Colorado
In a flurry of Merrill departures leading up to the long July 4th weekend, Wells Fargo and RBC also landed three solo... Read more »Published: July 5, 2022 - 3:41 pmBelieve It or Not, the Market Has 3 Silver Linings
For long-term investors, it will prove beneficial that the markets are exiting an artificial regime maintained for far too long by the... Read more »
Published: July 5, 2022 - 2:19 pmScott MacKillop: The SEC Warning TAMPs Don't Want to Talk About
SEC is increasing scrutiny of TAMP selection, so choose carefully, the First Ascent Asset Management CEO warns. Related StoriesRon Rhoades Makes 5 Predictions... Read more »
Published: July 5, 2022 - 5:06 amFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 7/1/22
New rules, old problems, and extreme markets lead to extreme advice. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending... Read more »
Published: July 5, 2022 - 4:01 amJPMorgan Boosts Global Wealth Bet With Citi, Credit Suisse Hires
JPMorgan Chase & Co. recruited Citigroup Inc. and Credit Suisse Group AG executives for its private bank, bolstering an effort to win... Read more »Published: July 4, 2022 - 10:27 pmNinety-Year-Old Morgan Stanley Broker Arrested After Shooting Colleague
An employee at the Oklahoma City branch said that the dispute may have involved shared customer accounts, according to a local news... Read more »Published: July 3, 2022 - 5:07 pmHigher Bond Yields Bring 'Income' Back to Fixed Income: WisdomTree's Flanagan
"Unintended consequences" of Fed policy are the biggest risk now, WisdomTree's head of fixed income strategy warns. Related StoriesBond Market Rebound Is Bad... Read more »
Published: July 1, 2022 - 9:34 pm15 Countries With the Most Billionaires
These countries are home to more than three-quarters of the world's billionaires, according to Altrata. Related Stories10 Ways to Find Business This Summer... Read more »
Published: July 1, 2022 - 9:05 pmJPMorgan Cuts Economic Growth Forecasts 'Perilously Close' to Recession
The bank reduced its estimate for annualized gross domestic product growth to 1% for the second quarter, down from 2.5% earlier. Related StoriesMorningstar's... Read more »
Published: July 1, 2022 - 8:19 pmEl-Erian Says Receding Liquidity Is Biggest Risk to Markets
He says the Fed's plan will likely slow the economy, raise the chance of a recession and present firms seeking new capital... Read more »
Published: July 1, 2022 - 8:07 pmStrategist Warns Investors Against Clinging to the Past
U.S. large-cap growth is no longer where the opportunities are, Richard Bernstein Advisors' Dan Suzuki says. Related Stories10 Ways to Find Business This... Read more »
Published: July 1, 2022 - 8:04 pmGrayscale Investments is suing the SEC to get its ETF approved but bitcoin's swoon means 'public sympathy' may swing in favor of the regulator, a rules lawyer says
The 'hard-pressed' Stamford, Conn., crypto fund manager calls the SEC's rebuff 'capricous' but with cryptocurrencies in freefall, the SEC can say I... Read more »Published: July 1, 2022 - 7:42 pmBuyers Still Want Life and Health Brokers: Stacy Kirshner
The Alvarez & Marsal insurance deal specialist says firms with a senior market focus are especially popular. Related Stories10 Cities Where COVID-19 May... Read more »
Published: July 1, 2022 - 7:31 pmChief Market Strategist Ryan Detrick Leaves LPL
"I'm just not meant to be institutional," Detrick said on LinkedIn. Related StoriesFirst Republic's Erkan Named Greystone CEO - Enclosure ... Read more »
Published: July 1, 2022 - 7:16 pmEx-Broker Pleads Guilty to Bilking More Than 100 Investors
Robert Louis Cirillo also admitted to filing tax returns that failed to report income from the scam, prosecutors said. Related StoriesExpect 'Deeper Dive'... Read more »
Published: July 1, 2022 - 6:59 pmNo, the Stock Market Hasn't Discounted a 2022 Recession: LPL Strategist
Volatility is up but not at "higher panic levels" associated with big sell-offs, Quincy Krosby says. Related StoriesBofA Says Brace for Recession Shock... Read more »
Published: July 1, 2022 - 6:49 pm
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