Cetera Names New General Counsel
Brian Stern leaves HD Vest in Dallas to join Cetera Financial Group in Los Angeles.
Raymond James Adds $2.4M Wells Fargo Team
Advisor Preston Covington and others join the employee channel in Columbia, South Carolina, with about $375 million in client assets.
The Almost ESOP Small-Business Succession Strategy
An ESOP alternative using a modified DB plan structure may provide a viable option for small-business owners trying to transition the company (and minimize taxes).
How Young Financial Advisors Can Invest in Themselves
One of the most overlooked parts of advancing one's career is self-investment.
Butler to Replace Booth as Co-CEO of Dimensional Fund Advisors
David Booth will continue in his role as executive chairman and will remain closely involved with the firm on strategic initiatives.
SEC Investor Advocate Launches Investor Research Initiative
The POSITIER initiative will utilize surveys, focus group tests and other tools to better assess investor needs and influence rules.
Advisor M&A Growth Is ‘Subplot of a Bigger Story,’ Says Schwab’s Beatty
Record number of 2016 transactions reflects growth of RIA industry and confluence of buyers’ and sellers’ shared search for "durable" businesses.
Betterment for Business Advisory Board Adds Google Benefits Director
John Casey, employee benefits director at Google, joins three other board members to help guide Betterment's 401(k) business.
Flat Fees Again: Hey, It’s Not My Fault!
Thoughtful comments from two readers requires another look at the flat fees vs. AUM compensation model for advisors.
AACF's Banks Joins White House as Senior Advisor on Energy, Environment
Former CIA analyst George David Banks is now special assistant to Trump and the senior director for international energy and environment.