Triad Advisors Targets Smaller Reps With New RIA Platform
Program aims to support hybrid advisors looking to boost business and minimize regulatory headaches.
Schorsch's RCAP Buys Girard, Nears 10,000 FAs
RCS Capital moves to add Girard Securities to the expanding Cetera Financial Group of IBDs led by Larry Roth.
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.