Registered Investment Advisers (RIA)

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    Regulators bare their teeth on excessive fees

    Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.

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    The next thing to worry about: Investor overconfidence

    In Friday's Breakfast with Benjamin, the downside of a multi-year bull market in stocks: Investors get overconfident. Plus: If oil drops to $30 look out below, not all hedge fund workers are rich, and what the IRS is looking for now.

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    Good looks aren't everything, but it might help you attract more assets

    In today's Breakfast with Benjmain, looks might help money managers land more assets, but they also tend to underperform. Plus: Darryl Strawberry's contract balance goes to the highest bidder, Florida investment manager charged with bilking $17M from clients, and a hedge fund manager uses proper ...

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    Will European easing sideline a Fed rate hike?

    Advisers and experts say 'the Fed really is hamstrung' by European Central Bankers' planned $50-billion-per-month quantitative easing program, meaning they can't raise or lower interest rates in this environment.

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    In Obama's State of the Union, advisers see a 'provocative' call to tax wealthy

    When the president delivers his State of the Union address tonight, he will make proposals that could change the basic assumptions advisers rely on for wealthy clients. (See also: 13 crucial state tax changes.)

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    Falling oil prices are now officially costing jobs

    Friday's Breakfast with Benjamin covers oilfield job cuts coming hard and fast now that the oil boom is sinking. Plus: Ohio-based financial adviser charged in Ponzi scheme, movie industry hopes the Oscar nominees can drive ticket sales, and the time might be perfect to start buying stocks.

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    $1B firm merges under consolidation pressures

    Keel Point partners with BlueCreek Investment Partners to form $1.5 billion firm, aiming for $5 billion.

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    SEC puts emphasis on retirement savers in 2015 exam priorities

    This year, the regulator says it will explore risks associated with increasingly popular alternative investments designed to generate high yields amid low interest rates “as investors are more dependent than ever on their own investments for retirement.”

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    Hanson McClain sues former adviser and Ameriprise

    $1.6 billion Hanson McClain claims Thomas Chandler and his new firm, Ameriprise, committed 'highway robbery' in taking client information.

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    U.S. economy reclaims post as global growth engine

    On Monday's Breakfast with Benjamin, the U.S. economy reclaims the post of global growth engine, though the Federal Reserve remains all quiet on the rate hike front. Plus: How to invest when a rosy jobs report hurts stocks, Goldman picks a list of losers, and millennials go home for financial ...

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    Majority of RIAs should move under state regulation: Study

    Shifting oversight of more RIAs from the SEC to states would increase exam coverage at less cost than establishing third-party reviewers, according to a new report. (See also: After 'the switch' in 2012, state regulators pounced)

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    Wilshire rolls out BDC index, setting the stage for investible versions

    Index will mainly act as a benchmark for the universe of six dozen individual BDCs until an investible version is created.

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    Finra hawks fiduciary in its regulatory priorities for 2015

    Finra's just-released regulatory and exam priorities for the new year include an unusual directive that brokers act in the best interests of clients regardless of current rules.

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    Financial adviser sentenced to 51 months for ripping off elderly clients

    Tuesday's Breakfast with Benjamin features an adviser sentenced to 51 months of jail time for stealing from elderly clients. Plus: Bill Gross doesn't see a rate hike till late in the year, the latest bet for oil, and a don't-miss webcast sets the stage for 2015.

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    Mariner picks up $1 billion RIA

    Acquisition of Vantage Investment Advisors bolsters fast-growing Mariner Wealth Advisors' presence in the Northeast.