Registered Investment Advisers (RIA)

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Watch breaking news videos and read news updates about Registered Investment Advisers (RIA) on investmentnews.com

  1. Articles

    SEC keeps fiduciary promises vague for 2015

    Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

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    Robo advice meets alternative investments

    New platform aspires to be an alternatives outsource for financial advisers.

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    Financial scams hit a new low via adviser's Ponzi scheme on his mom

    Start the week off with Breakfast with Benjamin, featuring an adviser pulling a Ponzi scheme on his own mother. Plus: JPMorgan settles with mineral-rights owners, becoming a 'financial catch,' and using dividend stocks to be like Warren Buffett.

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    Focus Financial teams up with top Chicago RIA

    Rudy Adolf's firm has completed 23 RIA and broker lift-out transactions this year.

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    Former Fed Chief Ben Bernanke takes stage at Schwab Impact as behemoth RIA conference convenes

    About 1,900 advisers are gathering in Denver for Wednesday's official start to the 2014 Schwab Impact conference. Many looking for tips to generate new business while others hope to find new investment vehicles aimed at smoothing returns during market volatility.

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    4 ways automation technology is changing the way RIAs invest

    Betterment founder and CEO Jon Stein says automation helps investors achieve better outcomes by taking irrational emotions out of the picture, improving returns and saving time.

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    Foreign family offices open outposts in U.S.

    Aggressive monetary easing, a shale oil boom that's lowered energy costs and improving corporate balance sheets give the world's largest economy an edge over other regions.

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    Pershing playing catch-up with competitors as custodian considers offering commission-free ETFs

    Platforms, popular with RIAs, post tremendous growth for firms, fund managers.

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    Pershing “actively” considers launching commission-free ETF platform

    Custodian considering jumping on bandwagon popular with RIAs as other platforms grow big.

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    Mariner Holdings on hiring spree

    Parent of RIA Mariner Wealth Advisors wants to hire up to 160 employees over the next six months.

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    TD Ameritrade's Veo dashboard gets boost from big data

    Firm looks to capitalize on adviser growth with tech upgrades, but no new robo-adviser in the offing.

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    Charles Schwab to launch free 'robo'-adviser next quarter

    Launching its own online advice platform, Charles Schwab is aiming to make low-cost, web-based advice even cheaper, but some industry watchers say it could rankle advisers who keep assets with the custodian.

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    How should custodian technology influence you?

    Picking the right custodian requires analysis of more than just how a custodian executes trades; you must consider reputation, service, pricing, accuracy, etc.

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    Schwab signs Morningstar to provide equity research, ratings

    Deal will give advisers access to sector reports and pick lists, as well as daily, weekly and quarterly outlook reports.

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    United Capital acquires $320 million AUM adviser

    California-based Valley Wealth is firm's third – and largest – acquisition this year.