After 6-Month Surge, RIA M&A Deals Drop Sharply in Q3: DeVoe
The quarter was the weakest the RIA industry has experienced in nearly three years.
What’s Next for Departing Rep. Hensarling?
He might end up heading the CFPB or the housing finance agency. Meanwhile, the House approved bills expanding the accredited investor definition and boosting IPOs.
Number of Advisors Going Indie Up 75% Since 2012: Schwab
Schwab Advisor Services analyzed SEC registration data to determine the number of advisors who entered the independent space.
Growing Your Business Is Not Like Being in a Contest
Many owners of advisory firms get so focused on growing their business that they fail to stop and think about what they really like about it.
Woodbury Adds $2B OSJ, RBC Picks Up $1B Teams: Recruiting Roundup
Plus, Raymond James, Baird, Kestra and other firms announce their latest hires.
Senate Panel Approves Peirce, Jackson as SEC Commissioners
The nominations now move to the full Senate for consideration.
Senate Panel to Hold Vote on SEC Nominees Peirce, Jackson
If confirmed by the Senate Banking Committee Wednesday, their nominations would then move to the full Senate for consideration.
Sipple Named Head of Great-West Investments
Michael Wands will succeed him as head of Global Investment Strategies at Putnam. Both firms are headed by Bob Reynolds.
Advisors, Don’t Make This Big Mistake With New Hires
Many firms are setting up their new hires, even experienced professionals, to fail. Follow this six-week process and you'll prevent problems down the road.
10 Steps for Climbing the Career Ladder
If you are an associate planner with your sights set on a lead advisor role, here are ideas to help set and achieve your goals.