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News

• 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.

• Dynasty Signs $1.2 Billion RIA Team, Plans Midwest Central Office

  February 7, 2012

  As more advisors move their practices out of the wirehouse channel, they gain expertise that they can share with peers who are considering a similar move.

• Taxpayers Concerned about Security of Online Tax Filing

  February 7, 2012

  A majority of taxpayers are concerned about the security and privacy of their personal and financial information when filing their state and federal tax returns online, according to a new survey.

• Sitting Out the Facebook IPO

  February 7, 2012

  With a projected valuation of as much as $100 billion, Facebook’s imminent IPO may portend great things for social media. But many planners feel less bullish about its prospects for delivering investment returns.

• 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.

• Asked and Answered: Deena Katz on Preparing to Lead Your Firm

  February 6, 2012

  Succession planning is on a lot of advisors' minds right now. But it's not only owners who need to prepare for succession — employees also need to get ready. Financial Planning talked to Deena Katz, chairwoman of Evensky & Katz and associate professor of personal financial planning at Texas Tech, about her thoughts on this topic.

• UBS Takes In Six New Advisors In Hiring Spree

  February 6, 2012

  UBS Wealth Management Americas has hired six new financial advisors including one Merrill Lynch team previously produced $4 million and oversaw $750 million in client assets.

• Former Merrill Lynch Team Launches As RIA Firm

  February 6, 2012

  A regional team of former representatives at Bank of America Merrill Lynch have launched their own independent advisory firm, affiliated with Focus Financial Partners.

• When Hedge Funds and Mutual Funds Collide

  February 6, 2012

  Hatteras Funds CEO Brian Jacobs predicts there will be an increasing convergence between the mutual fund and hedge fund worlds as more companies seek to offer hedge fund strategies to mass-market investors.

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