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.
Rep. Bachus Backs Waters' User-Fees Bill
Rep. Spencer Bachus, R-Ala., agreed Thursday to co-sponsor a bill to allow the SEC to collect user fees to help boost advisor exams.
Legacy Clients: What’s Missing in the Fee/Commission Debate
A discussion on converting clients from commissions to fees raises some interesting points.
‘Mutual RIA’ With Advisor Profit Sharing Launched by LPL Affiliates
Good Life Advisor Systems aims to share profits with all of its partnering reps nationwide, not just principals.
Finding a Custodian That Fits, Part 3: Its Technology
How I use my custodian's technology to run my practice more efficiently and serve my clients better.
LPL’s Largest Hybrid Is on a Wild Growth Tear
Independent Financial Partners CEO Bill Hamm explains how the firm increased AUM from $3.3 billion to $5.2 billion in a year.
Mutiny? Brokers Are Embracing Fiduciary Standard, if Not Their Employers
Deutsche Bank suit and countersuit show that some brokers are putting their clients' interests first even when their employers dictate otherwise.
AIG Advisor Group CEO: ‘Comfortable With Parent Company’
The organization, a possible Schorsch target, is hosting its annual Women’s Conference this week with a focus on growth.
30-Year Merrill Veteran Dupuy to Lead Focus Financial's Indie Transition Team
Focus Financial Partners announced Thursday that it has tapped Merrill Lynch veteran Chris Dupuy as co-president of Focus Connections.
Taking the Indie Leap; Rethinking REITs: June Research Features—Slideshow
For advisors, going independent requires not just careful cost-benefit analysis but also a focus on their clients' confidence—and their own. Ellen Uzelac's cover story in the June issue of Research magazine probes what's involved in making such a leap of faith, and looks at advisors who have done it. In...