Focus Financial Adds $1B RIA in Chicago
Also, Raymond James adds a $390 million independent-employee group in Beaufort, S.C., from Wells Fargo.
FINRA Earnings Surge as Fines Double
The self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
Does Gay Marriage Ruling End a Financial Planning Niche?
The workarounds that advisors in many states created to provide same-sex couples with legal benefits now must be unwound.
The Price of Independence
When referring to oneself as an independent advisor, do you mean you are an independent business owner, independent in your ability to select technology and platforms, independent in your ideas and recommendations to clients, or independent from direct supervision?
SEC Suspends Advisory Firm's Ex-President for Failing to Heed CCO Pleas for Help
SEC says the firm, Pekin Singer, breached ethics rules by failing to place clients in a lower-cost share class of the Appleseed Fund it managed.
Cybersecurity Tops Advisors’ Compliance Worries: Poll
Other big worries cited in the survey were FATCA compliance, advertising and fraud prevention.
Josh Brown: Tapping Social Media’s ‘Stratospheric’ Potential
The Reformed Broker blogger and Ritholtz Wealth Management CEO has a few tips to be "devastatingly effective" on social media.
Schwab Unleashes RIA Robo-Beast
Custodian’s institutional robo-advisor offering serves as “entry point” for “GenNow” clients, says Bernie Clark; 4% cash holding still required.
SEC to Scrutinize Retirement Advice
The SEC has launched a multiyear targeted review of investment advisors’ and BDs’ retirement planning sales practices.
5 Ways to Cement Relationships With Client Couples
When only 16% of advisors to couples know the wife's expected retirement age, as a TIAA-CREF survey found, it's no wonder widows often fire them.