New regulation under ERISA section 408(b)(2) is expected to be released in the fall of 2010 and take effect in 2011. One key consequence of these regulations is level pricing for financial advisers (FAs) who provide services to 401(k) plans. ...
Though 2009 comp was way off from 2008, on average, financial advisors' compensation has, for the most part, returned to pre-crash levels. Expectations are high for a resumption of growth for 2010....
This year's list represents top independent registered investment advisories that primarily do retail fee-only financial planning, as ranked by assets....
Under reform legislation, RIAs with less than $100 million in assets will no longer be regulated by the SEC. State regulators will step in. Will states be more successful than the SEC?...
By Rich Behrendt, senior estate planner, and Blake Panosh, Insurance and Annuity Managers, Robert W. Baird & Co.
There is an alternative planning opportunity for clients who are intrigued by the benefit of tax-free growth of a Roth conversion, but who ultimately reject the strategy because of the income tax liability triggered on the full IRA balance at conversion: using the required minimum distributions on a traditional IRA to purchase life insurance. ...
The financial crisis left some serious emotional scarring on the ultra rich. In fact, they trust the government less since the downturn, and believe the U.S. and global economies will continue to deteriorate, according to a recent Barclays Wealth survey....
Mergers and acquisitions might be crawling back to the top of RIA principals' to-do lists this year as the first quarter's numbers show record activity....
Today Stifel Financial Corp., the St.Louis-based financial services holding company, said it is buying Thomas Weisel Partners Group, a San Francisco-based investment bank, in a deal valued at more than $300 million....
Mergers and acquisitions seem to be crawling back to the top of RIA principals’ to-do lists this year, as the first quarter’s numbers show record activity. What is your financial advisory practice worth?...
Profiles and fact sheets of independent broker/dealers and registered investment advisories (RIAs), an outsourcing guide, listings of compliance/regulatory consultants, securities lawyers, recruiters, back-office technology offerings and asset management platform providers.
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