Cambridge’s Continuity Partners Group Welcomes First RIA
Gould Asset Management, with $450 million in AUM, joins 168 Cambridge reps in advisor succession group.
FSI Boosts Lobbying on Federal, State Levels
With 10 staffers working the federal and state beats—and three more to be hired this year—the FSI is flexing its advocacy muscles.
Magic Johnson Gives Advice to TDAI Advisors
For one thing, the NBA Hall of Famer argues that you shouldn’t “love what you own.” He’s followed that advice in his post-basketball serial entrepreneur career.
Restoring Trust, One Client at a Time
What a person finds humorous can be quite revealing.
To Succeed in the (Near) Future, BDs Must Avoid the Winner's Curse
Pershing has been delivering slices over the past year of its Broker-Dealer of the Future II research, which focused on six big transformations that independent BDs must embrace if they wish to succeed in the future.
How to Survive Today’s SEC Exams: Giachetti
One major issue: on cybersecurity, the SEC is “putting the onus on you,” the noted securities lawyer warned RIAs.
Side-Stepping SEC and DOL, 11 Fiduciary Best Practices for Advisors Are Proposed
Institute for the Fiduciary Standard's Knut Rostad says these practices can be used by advisors to counteract D.C. gridlock on fiduciary and “investor misperceptions.”
TD Ameritrade Launches 4 Initiatives at National Conference
TDAI chief Tom Nally also vows company will remain “focused and vigilant” on advocating for the fiduciary standard.
TD Ameritrade CEO Tomczyk: ‘Not Obvious We’ve Hit Bottom’ on Oil Prices
As for where to invest, Fred Tomczyk thinks U.S. equities are still the way to go.
Andy Friedman: 7 Dates That Will Force Congress to Act
Speaking at FSI OneVoice, Friedman says seven "forcing events" will lead Congress to act, despite otherwise continued "split government" in Washington.