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May 7, 2012 story: Principal Funds has added three new regional directors to the firm's investment only team: Marcel Dawson, Gary Nakamura and Pamela Suing, focusing on growth within the registered investment advisor distribution channel.
May 4 -
Large retirement plan providers tried to offer Californias teachers and other education workers simpler plan options, but the Financial Services Institute said it should not come at the expense of access to quality personalized investment advice.
May 4 -
Two groups representing mutual fund independent directors and trustees are joining together to voice their concerns about the changes to money market funds currently being considered by the Securities and Exchange Commission.
May 4 -
Your IRA Expert takes on questions about SEP contributions and 457(b) rollovers.
May 3
Ed Slott & Co. -
Clients interested in guaranteed lifetime income? Now you have one more option to offer, courtesy of Great-West Life & Annuity Insurance Co.
May 3 -
Every year FINRA sends hundreds of inquiries to firms that are not broker-dealers, including RIA firms, about suspicious trading. How you respond is critical.
May 3
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Wunderlich Securities has announced the hiring of four more professionals from Morgan Keegan: three in its Equity Capital Markets division and one in the Private Client Group.
May 3 -
On May 3, an AllianceBernstein retirement executive revealed that he is leaving the firm at the end of the month to pursue a career in teaching.
May 3 -
RIAs who use the combined service will be able to pull up daily client balance, holding and transactional data through ByAllAccounts, plus the reporting capabilities of Portfolio Pathway
May 3 -
More than five million high-net-worth investors are using social media sites to inform their financial decisions and nearly three in four use LinkedIn for investment research.
May 3
