SEC Names New Chief of Complex Financial Instruments Unit
Daniel Michael looks forward to fighting fraud in "some of the most challenging areas of the markets."
Regulatory Considerations for RIAs When Hiring a Non-Advisor
Even if a new hire won't be providing financial advice, there are several issues advisors must keep in mind.
14 of the Best 529 College Savings Plans: 2017
Helping your clients choose a 529 college savings plan from Morningstar's list should be a top priority before the end of the year.
Triad Advisors Adds $900M Group: Recruiting Roundup
Meanwhile, Woodbury and Ameriprise Financial share news on their latest hires.
2 Advisor Groups With LPL Ties Merge
Wealth Enhancement Group has some $7.5 billion in client assets; the move boosts its presence in Florida.
Celebrity Advisor David Bach Launches ‘Business in a Box’ for Advisors
If your advisory business today has “below $25 million in assets ... you will be out of business in five years,” Bach told ThinkAdvisor.
Perkins Coie Hires Former SEC Fintech Examiner Didiuk
Didiuk joins Perkins Coie’s Investment Management, Fintech and Blockchain teams.
Merrill to Stay in Broker Protocol; Wells Fargo on Fence
One recruiter wonders: Why is the BofA wealth unit staying in the recruiting deal while Morgan Stanley and UBS have left?
Veteran $1B Wells Fargo Team Moves to Baird
The group includes three advisors based in Anchorage, Alaska.
2 Paths to Healthy Business Growth
To keep a business on track, you must keep overhead down, and that means controlling costs.