Schwab Profits Rise 11% in Q3
The firm's revenue tops estimates at $1.55 billion, a 13% year-over-year improvement.
RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.
LPL’s Robert Moore: RIAs Are Where the Growth Is
LPL President Robert Moore tells ThinkAdvisor why the BD is not feeling acquisitive and why there's room to grow in the indie RIA space.
New Fiscal Year Will Bring More Advisor Cases: SEC Enforcement Chief
SEC enforcement chief Andrew Ceresney says the agency will continue to bring cases on matters like fees and conflicts of interest.
Fidelity Names Abigail Johnson CEO to Succeed Father, Ned Johnson
Ned Johnson tells shareholders he will stay with Fidelity as chairman.
19 Top Colleges for Green MBAs: 2014
These college rankings weave together the priority given to sustainability education with Financial Times’ Global MBA ratings.
Hacked: What to Do When Cybercriminals Hit Your Firm
Cybersecurity is a constant threat, and considering how attractive a target a financial firm is, especially if it serves high-net-worth clients, advisors should be prepared for the worst.
Krawcheck Calmly Rips Microsoft CEO Over Comments on Women
Krawcheck criticizes Satya Nadella’s advice that women shouldn’t ask for raises but should rely on “karma” instead.
Raymond James Sees Growth in RIA Unit; Adds Social Media, ETF Offerings
Relaunched and reinvigorated RIA custody unit has 110 RIA clients with $10 billion in AUM, adds Hearsay Social platform and 120 no-transaction-fee ETFs.
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI
Meanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.