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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    SEC's White defends coverage of investment advisers

    Chairwoman says agency is considering augmenting adviser exams with third-party audits.

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    Alternatives offer money managers a profitable lifeline

    Low-cost index funds capturing 25% of new assets but drive just 5% of revenue.

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    Powerful Wells Fargo division takes over firm's wealth management research functions

    New unit will influence product selections for 15,000 advisers managing $1.6 trillion in assets.

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    RIAs to control 28% of assets by 2018: Cerulli

    Dual registrants are a key driver of growth for the segment, which holds 20% of assets today, the research firm said.

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    The youth movement

    Reaching Gen X and Gen Y can help advisers build their practice now and increase their firm's value when they are ready to sell it, according to Amy Mullen of Money Quotient in a session called “Close the Generation Gap and Build a Sustainable Financial Planning Practice.”

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    The next great opportunity

    Registered investment advisers have had a great run in recent years, but to keep it going, they must engage with the next generation of investors, diversify the talent within their firms, and expand their use of new technologies, leaders of Schwab Advisor Services told advisers at IMPACT 2014.

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    A 'must have' tool

    Public relations is a “must-have” growth tool for advisers today, no matter the size of their firm, according to Susan Forman, vice president of corporate public relations for Charles Schwab & Co., Inc.

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    Imagining the future: Exploring social and technology trends reshaping the RIA industry

    Are you spending enough time preparing your business for the future? Research shows you might not be, said Neesha Hathi, Senior Vice President of Advisor Services at Charles Schwab & Co., Inc.

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    Creating community

    Advisers are missing many opportunities to expand their practices and serve their clients, but they could capture these by creating deeper relationships with their clients, according to Anthony DiLeonardi, managing partner, Third Quarter Advisers.

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    Expanding ownership

    Adding employee owners to a firm can result in significant growth – so much so that often the original owner ends up with more than he or she had as the sole owner, according to Richard Schwartz, managing director of Charles Schwab & Co. Inc.'s Business Consulting Services.

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    Helping clients cope with grief

    Advisers can strengthen client relationships and can build multigenerational loyalty by preparing themselves to become “the go-to person” when clients have a death in their family, according to a grief expert who spoke at IMPACT 2014.

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    Leading with the right

    People have an insatiable appetite for stories, and advisers who master the art of telling stories and eliciting them from prospects and clients can forge deeper relationships, simplify complex investment decisions for clients, and grow their businesses, a consultant and author told advisers at ...

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    Will the SEC use its extra funding to strengthen adviser oversight?

    Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?

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    SEC works on rule requiring practice transition plans

    The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets.

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    Wall Street makes a case for why consumers should be spending big

    On Monday's Breakfast with Benjamin, Wall Street makes its case for why consumers should be spending big. Plus: Avoiding 'bag lady syndrome', the insurance industry gets digital, and oil starts to look and feel like a free market.