Millions of investors are at risk of being defrauded because the SEC lacks the financial resources to do an adequate job of policing the advice business
Rich Lowrie serves as economic adviser to Herman Cain
The investment adviser's job has never been more difficult
Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued.
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Number of RIAs down 1%; the good news: AUM up 13.7%
Push for larger reserves could push some insurers right out of the business; vendors fighting back
Sponsors of legislation that would limit on the federal levy on investment income at 15% are confident of strong support in the House. The Senate is another matter, however.
Financial advisers are recommending a mix of tools to fund college tuition, the most popular of which are Section 529 college savings plans and trust accounts, according to a new survey.
Provision allows deceased to pass on exemption to spouse; expires in 2013
Focus Financial Partners has landed one of its biggest RIA partner firms yet with the addition of LVW Advisors — a pickup that also signals the wind-down of Convergent Wealth Advisors' institutional business.
Investors, attracted by the allure of guarantees, gobbled up variable annuities during the second quarter, placing some insurers on pace to beat estimates and bringing broker-dealers closer to pre-crisis VA sales levels
Adviser revenue recovered last year to pre-crisis levels as assets continued to climb, but growth expectations for future growth have soured.
Financial advisers are stuck on Jackson National Life Insurance Co.'s variable annuities
The number of investment advisers registered with the Securities and Exchange Commission has fallen for the first time in 10 years, while the assets that they manage have increased sharply, according to a report released last week
The MDE Group Inc., a $1.3 billion institutional wealth management firm, is making an official expansion into the registered investment adviser business with the launch of Risk 3.0 Asset Management
Market volatility derails tie-ups; 'buyers and sellers backing off'
Deal gives smaller firm foot into university employee market
National consolidators, PE firms leading the charge; fourth quarter deals already hopping
