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News

• Lincoln Investment Planning Buys Broker-Dealer and RIA Capital Analysts

  February 8, 2012

  Independent broker-dealer and RIA Lincoln Investment Planning has agreed to buy broker-dealer and RIA Capital Analysts from Western & Southern Financial Group, the firms announced. The deal, terms of which were not disclosed, is expected to close in the second quarter of this year.

• Former Carson Wealth President Launches RIA Firm

  February 8, 2012

  The newly created firm’s target net-worth range is broad enough to allow Angeles Wealth Management to allocate clients’ money in a wide range of asset classes.

• 401(k) Plan Sponsors Not Confident About Employees’ Retirement Planning

  February 8, 2012

  The vast majority of executives responsible for 401(k) plans at their companies are feeling less confident that employees are financially prepared for retirement, according to a survey by Deloitte.

• Most Investors Trust Their Advisors, But Much More Wary of Fed, Obama and Congress

  February 8, 2012

  The survey, conducted by John Hancock Financial in late 2011, showed that 82% of investors who work with a financial advisor have a high level of trust in that advisor.

• Taxpayers Underreporting Retirement Income

  February 8, 2012

  Clarifying Form 1099-R would help the Internal Revenue Service identify more taxpayers who are underreporting their retirement income, according to a new report.

• IndexIQ Hedge Fund Benchmarks Surge 3% in January

  February 8, 2012

  The seven hedge fund benchmark indexes operated by alternative investment manager IndexIQ on average rose more than 3% in January, according to January 2012 performance data released by the firm.

• TD Ameritrade Shuffles Executive Team

  February 6, 2012

  TD Ameritrade Holding Corporation has named Tom Bradley its new president of retail distribution. Bradley was previously president of TD Ameritrade Institutional, the unit of the firm that serves independent advisors.

• LPL Recoups Net Income, Grabs Huge Slice of RIA Assets Under Management

  February 7, 2012

  Strong growth solidified LPL’s position as one of the largest RIA custodians in the industry.

• Beware the Risks of Playing It Safe, Wilmington Trust Warns in Seven-Year Forecast

  February 7, 2012

  There are risks to playing it safe by investing in bonds. That’s the overarching conclusion of a seven-year economic and financial market forecast from Wilmington Trust Investment Advisors, the newly named investment advisory and asset management arm of M&T Bank Corporation.

• Rothstein Kass Family Office Group Recruits Director for Western Region

  February 7, 2012

  Rothstein Kass expects that new hire Nancy H. Schultz will be able to parlay her 25 years of financial planning experience and her extensive network of contacts in the region to take advantage of growing demand for single-family practices on the West Coast.

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