Schwab-Morgan Broker Battle Is ‘Tricky’: Expert
FINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
Can CFPs Really Be Fiduciaries?
To my mind, the onus for establishing standards for how CFPs should live up to a fiduciary standard fall squarely on the CFP Board.
TD Ameritrade Fee Rebates: A Win or a Loss for Investors, Advisors?
Industry experts Lou Harvey and Michael Kitces weigh in on TD and Schwab's moves to support model portfolios.
SEC User Fees the Answer to Exam Budget Crunch: Investor Advocate
SEC investor advocate Rick Fleming called on Congress to pass a user fees bill, saying investors faced “substantial risk” from unexamined advisors.
Triad Advisors Targets Smaller Reps With New RIA Platform
Program aims to support hybrid advisors looking to boost business and minimize regulatory headaches.
NFL's 49ers Strike Deal With Robo-Advisor Wealthfront
Team will pick up advisory fees on first $100,000 invested by front-office employees and former players, to whom Wealthfront will provide financial education.
As Kleintop Leaves LPL for Schwab, Will Morale Suffer?
The latest high-profile departure from LPL "does not bode well" for staff morale, says one recruiter; others disagree.
SEC Cracking Down on Wrap Fees; Wins Court Case
The SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-Advisors
SEC Rule 203A-2(e) governs registration requirements for advisors delivering advice by the Internet. Here’s how to stay compliant with this foresighted rule.
Battered Morgan Stanley Breakaway Advisor Fights Back
Breakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and “painted” his compliance record when he tried to leave.