GOP Reps Demand Proof DOL Didn’t Go It Alone on Fiduciary
Lawmakers tell Secretary Perez to hand over SEC correspondence, but advocates say Congress’ efforts to stall the fiduciary redraft are futile.
RIA Growth Secret: ‘Create a Story That Sells Itself’
Firms discuss how moving from the wirehouses to independence brought rapid growth.
Advisor Exam Changes Afoot: IAA’s Chief Lobbyist
IAA's Neil Simon says exam changes are coming for the same reason the DOL fiduciary rule won't languish at OMB: the political pressure is on.
Advisor Compensation: The Value of Investing in Talent
For RIAs, attracting and retaining top talent is more competitive than ever, but it’s also more important than ever.
Janus Readies ETF; Edward Jones Pushes Back Fund Rollouts
Investors can expect a new fixed income fund led by ex-PIMCO chief Bill Gross and equity products from Edward Jones' Bridge Builder brand.
The Case Against Fee Disclosure: Good Idea; Bad Timing
Should RIAs increase fee disclosures to clients? It's a good idea, but considering the brokerage industry's marketing expertise, now may not be the right time.
Raymond James Adds 6 From LPL; Wells Fargo Grabs 5 From Morgan Stanley
Meanwhile, Merrill Lynch recruits a UBS team as wirehouse retention deals expire.
Claiming Social Security; When Clients Go Bad; Fighting Public Corruption: Investment Advisor March Features—Slideshow
While advisors are not required to provide help with Social Security claiming strategies, some experts believe clients who sue their advisors over bad advice could have a case.
Why I Love Advisors
At the TD Ameritrade Institutional conference in January, I participated in a panel session on how advisors can work with the media.
At TD Ameritrade Gathering, Technology, Trusts, Diversity—and Blue Jeans
TD Ameritrade Institutional's annual advisor gathering featured well-received addresses by people like Leon Panetta and Magic Johnson and a last-night party headlined by the Steve Miller Band.