Registered Investment Advisers (RIA)

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  1. Articles

    Advisers shift away from AUM fees to better serve clients

    NAPFA members debate which pay structures resolve conflicts and other concerns.

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    United Capital pivots away from mutual funds to proprietary asset management program

    Firm sees new way to cut the middleman, product fees for clients while capturing top investment ideas.

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    Industry hurdles hinder entrepreneurial advisers

    Regulatory and legal strictures have made the environment for RIA startups overwhelmingly hostile — not to mention expensive.

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    Former Cetera owner Don Marron returns to the investment advice business

    Industry vet says the future lies in retail, with baby boomers retiring and workers being moved to defined contribution plans away from pensions.

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    State Street gets the cold shoulder from financial advisers

    Breakfast with Benjamin: State Street gets poor marks from financial advisers, despite dedicated efforts to mend fences and build new relationships.

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    Boston RIA hit with $48 million arbitration award

    Clients accused Lee Weiss of recommending an unsuitable investment in a Polish tobacco company.

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    Ken Fisher plans to step down as CEO of firm

    Billionaire behind Fisher Investments has discussed his intentions for years, but succession plan isn't clear.

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    Focus invests in its first Canadian advisory firm

    Focus Financial Partners has taken a stake in an 850 million dollar Canadian ($675 million) asset wealth manager in Montreal, representing its first investment in that country.The firm is partnering with Dorchester Wealth Management, which was founded in 1928 in Montreal and serves Canadian,

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    Merrill Lynch's John Thiel urges colleagues to work with DOL on fiduciary rule

    At least one major industry player is taking a more welcoming stance toward working with the Labor Department as it seeks to create a rule that would hold brokers to a fiduciary standard when dealing with retirement plans.

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    Fidelity unveils program to help advisers unload unwanted clients

    Fidelity is teaming up with RIA FirstPoint Financial to make it easier for advisers who custody assets on its platform to offload unwanted clients.

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    Focus Financial invests in $600 million wealth manager

    Focus Financial Partners, the deep-pocketed investor in financial-advisory businesses, said Monday it has taken a stake in a 45-year-old firm managing $600 million in assets.Under Focus' umbrella, the Savannah, Ga.-based Fiduciary Group plans to add to its ranks of financial advisers and extend its

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    Would one share of Warren Buffett's Berkshire Hathaway be a smart retirement savings strategy?

    Breakfast with Benjamin: Would buying one share of Warren Buffett's Berkshire Hathaway be a good savings strategy?

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    Insurance policy raises questions in Convergent suicide

    Former Convergent CEO David Zier took out a life insurance policy that later reimbursed investors in his outside fund, sources say.

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    Being smart about smart beta

    Breakfast with Benjamin: Smart beta is here to stay, so you might as well try and figure out what the heck it is.

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    DOL head says fiduciary standard will happen

    Secretary Perez has confidence his agency will complete work on the rule before Obama's term ends.