Registered Investment Advisers (RIA)

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

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    Global markets feeling pressure from increased geopolitical risks

    On today's Breakfast with Benjamin menu, global markets feel the pressure of an uptick in geopolitical risk, as oil prices move higher. Plus notes on where to go when volatility rises, and more.

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    Private bank to acquire $4.3B RIA, creating $9B wealth management monster

    Boston Private Bank is paying $60M for Florida RIA Banyan Partners, a $4.3B firm, creating a new wealth management behemoth.

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    Market gains, organic growth help RIAs achieve record profits

    More than one-third of firms have doubled AUM and revenue since market lows of '09.

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    Dollar rides high on hope into earnings season

    Breakfast with Benjamin: The dollar is enjoying a big rally right into earnings season. Plus: Goldman moves up its rate hike forecast, putting GDP in perspective, El-Erian reads Yellen's mind, and proven old-school investing techniques.

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    Lack of adviser oversight is ticking bomb

    The SEC must find a way to increase adviser examinations, otherwise American investors face a grave threat.

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    To compete with robo-advisers, Nally proposes charging clients for all services

    The head of TD Ameritrade's RIA custodian says advisers should consider fee linked to wealth beyond stocks and bonds

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    Wirehouses, banks, RIAs under cost pressure even as assets rise

    The rich are getting richer, and that's good news for banks' wealth management units. But for how long?

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    Stocks have biggest May in years but where's the excitement?

    Breakfast with Benjamin: Why there's no excitement for this stock rally. Plus: Fee-only RIAs in the catbird seat but they can't relax; the active ETF world heating up; what QE has wrought; on Phil Mickelson and insider trading; and Apple's big day.

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    Calm before the RIA storm

    Strong growth in 2013 won't diminish rising pressures on RIA firms, as competition, regulation and margin compression continue to pose threats. Plus: Our RIA Rundown 2014 Special Report

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    SEC's White calls third-party adviser exam idea 'creative'

    Securities and Exchange Commission Chairman Mary Jo White on Thursday indicated she was open to the idea of outsourcing examinations of investment advisers, calling it “creative.” Earlier in the week, SEC Commissioner Daniel Gallagher said that the agency should propose a rule that would require

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    Larry Roth wants to double Schorsch's B-D network

    The new head of the burgeoning independent-broker-dealer network expects to have 20,000 brokers within five years, could make it the largest such firm in the country. Plus: Schorsch in $1.5 billion Red Lobster deal

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    4 reasons not to launch your own hybrid RIA

    Does setting up a hybrid RIA firm make sense for your practice? Here are four factors to consider.

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    SEC weakness allowing investment adviser violations to slip through the cracks

    Commissioner Daniel Gallagher says adviser stats likely equal to registered rep stats from Finra.

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    Lazard profit exceeds estimates

    Lazard Ltd., the largest independent financial-advisory firm, reported a surge in first-quarter profit that beat analysts' estimates as revenue from advising on mergers doubled.

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    Tech firms honored as the advice industry's most innovative

    At the fifth TD Ameritrade Institutional Technology Summit, which has brought together some of the industry's top technology firms, TDAI introduced its first-ever “Veo Integrated Awards.”