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138 Matching News Items |
| 1. |
RIABiz
Apr. 1, 2012
"Recently [RIABiz] wrote about an odd circumstance in which the [DOL] set out fiduciary rules so stringent that trade groups like NAPFA and FPA found themselves siding with their traditional foe, the FSI. The Committee for the Fiduciary Standard was alone in defending the DOL's position.... So who is right? Even among advisors there is considerable disagreement."
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| 2. |
RIABiz
Nov. 18, 2025
"Fidelity Technology Group is suing and seeking an injunction against the Palo Alto software maker in a festering contract dispute to prevent dire outcome that would stop most RIA client servicing in its tracks.... Broadcom Inc., a key Fidelity Investments software provider, is threatening to pull the plug on Fidelity's computers two months from now, creating a massive blackout for RIAs, clients and the company itself." [Fidelity Technology Group, LLC v. Broadcom Inc., No. 2584CV03035 (Mass. Sup. Ct. complaint filed Nov. 3, 2025)]
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| 3. |
RIABiz
Oct. 14, 2025
"Pontera CEO Yoav Zurel ratcheted up his year-long battle with Fidelity Investiments, scolding the No. 1 401(k) recordkeeper in an 'open letter' for refusing to allow third-party credential sharing.... Pontera's business model depends on password sharing to link RIAs and their Fidelity 401(k) clients through a 'holistic portfolio' on its platform. "
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| 4. |
RIABiz
Aug. 14, 2025
"it's going to be a long time, a very long time, before private investments go airborne.... 'Fiduciary' is one problem. Liquidity is probably a bigger one.... [L]ogistical issues around liquidity and other alts limitations are big reasons why the executive and DOL guidance is specific to asset allocation funds versus standalone alts."
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| 5. |
RIABiz
July 6, 2025
"Vestwell's track record up until now has often involved micro-investors in pine tree provinces and 37 state retirement plans ... Vestwell won the account of Delivery Service Partners (DSP), an independent contractor program Amazon founded in 2018.... Asked if Vestwell has an edge with other gig-worker corporate accounts like Uber, based on the Amazon account, [Vestwell founder and CEO Aaron Schumm] hinted more deals may be on the gig horizon."
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| 6. |
RIABiz
Jan. 16, 2025
"[As] the RIA business gets bigger, and its clientele spans a wider wealth spectrum, it is also becoming clear that some RIAs are harming their practices, hence their clients, by misinterpreting their precise legal duties."
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| 7. |
RIABiz
Dec. 15, 2024
"Federal regulators are finally addressing an unconscionable fiduciary breach by the U.S. pension system -- the failure to track $1.65 trillion saved by workers, mostly in orphan 401(k) accounts. The [DOL] is launching a database for employees to find old 401(k) plans -- and reclaim them -- something the law prevented until passage of the 2022 SECURE 2.0 Act.... [L]ost 401(k) accounts are not just a fiduciary issue -- it is clearly in a client's best interest to gain access to lost investments -- but also a business opportunity."
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| 8. |
RIABiz
Oct. 31, 2024
"Thousands of clients may be getting lost in the shuffle in the face of strong inorganic RIA growth -- an obscure problem until federal regulators gave Regal Investment Advisors the royal treatment, in part, for charging full fees and failing to disclose reduced service."
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| 9. |
RIABiz
Sept. 25, 2024
"The $4.5-trillion recordkeeper cites data security as the immediate concern but it also cites a clash between unauthorized, unidentified third-party advisors executing trades -- without plan sponsor oversight."
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| 10. |
Knut Rostad in RIABiz
Sept. 13, 2024
"[T]he new SEC rule is the suitability standard with two modifications. It cynically co-opts the fiduciary industry's 'best-interest' phrasing and treats more misbehaviors as technical breaches.... But in practice, the breaches are allowable because Reg BI arms brokers with ways to disclose away almost anything in the small print. The SEC accomplished one objective of the fiduciary movement -- regulatory harmonization for all advisors. But at a steep price. It made sure advisors and brokers appear to be conflicted alike."
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