SEC Hit Advisors With Record Enforcement Actions in FY ’16
New single-year high for actions involving advisors and “most ever” independent or standalone cases involving advisors in FY ’16.
Envestnet Acquires Data Analytics Provider Wheelhouse Analytics
Wheelhouse Analytics is a provider of data analytics and mobile sales solution, and could help with DOL fiduciary compliance.
Top Portfolio Products: Envestnet Launches DOL Compliance Solution
The platform enhancement is designed to help advisors comply with the new rule as part of a "seamless wealth management process."
5 Trends in How Advisors Work With Retirement Income Clients
A Practical Perspectives survey finds that retirement income relationships represent more than half of all assets managed for most advisors.
Recruiting Roundup: LPL Affiliated Reps Jump to Focus Financial, Form $600M RIA
Meanwhile, the Harvest Group breaks away from UBS with about $300 million in assets; more
15 Firms, Including 3 Super OSJs, Join FSI
One of the new member firms is affiliated with LPL Financial, which is not part of the industry group itself.
5 Big Changes Advisors Should Make by Fiduciary Rule Deadline: AssetMark
As the April 10 deadline approaches, advisors should be taking these key actions to update their practices.
Who Do You Love: Employees or Clients? Tibergien
While serving clients with great care and attention defines your firm's mission, the health of your enterprise depends on employees.
8 Leadership Mistakes That Hurt Your Firm
Owner-advisors must lead from the top down by setting an example for their employees.
How the Best Firms Outperform
The slowed-down markets in 2015 reveal to FA Insight what makes top advisory firms successful.