82% of RIAs Expect Boost in M&A Deals: TD Ameritrade Survey
Yet only 8% say they really expect to complete tuck-ins of advisor teams this year.
DC Plan Sponsors Focus on Fees
Two studies released by Cogent Wealth found an increased focus on fees in defined contribution plans.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
LPL Q3 Earnings Meet Lowered Estimates as Profits Fall 12%
Average production per advisor drops from Q2, but assets tied to RIA relationships strengthen.
Pershing Adds to FundVest Platform
New additions to the no-transaction-fee platform address a growing appetite for advisory share classes as FundVest assets cross the $100 billion threshold.
Should 401(k)s Have Bitcoin?
Its advocates acknowledge it's a risky investment but, they say, acceptance is growing, as is interest from institutional investors.
PIMCO Rehires Spence, Banet to Rebuild After Gross Departure
PIMCO has named Nobel laureate Michael Spence as consultant and rehired money manager Jeremie Banet as executive vice president.
New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
How to Attract and Keep the Next Generation of Clients
One perhaps surprising finding: Millennials tend to work with older advisors. But experience alone is not enough to keep them happy.
Raymond James Tops Estimates in Q3, Private Client Profits Jump 55%
The company now includes 6,265 advisors doing business in different channels in the U.S., Canada and the U.K.