DOL Fiduciary Deadline Is Coming. Here’s a Compliance Checklist
Compliance firms and attorneys are busy giving advisors, BDs and plan sponsors a to-do list as the June 9 compliance date nears.
How Two Friendly Rivals Formed HighTower St. Louis
Can two competing FAs merge practices without cramping each other’s style? Barbara Archer and Carol Rogers of HighTower St. Louis talk with ThinkAdvisor.
Financial Planning: The Antidote for the More Matrix
Financial planning is the perfect tool for helping clients overcome cravings for “more” because it provides a method for visualizing and quantifying “enough.”
A 7-Point Checklist for Advisors to Protect Against Cyberattacks
Former Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.
Merrill to Pay Fine Over Trading, Disclosure Issues
More than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
College Grads Entering Best Job Market Since Great Recession
The New York Fed says the unemployment rate for recent college graduates is under 4% and wages have been rising.
From ‘Pedestrian’ to Personal: Giving Clients What Wirehouses Can’t
Cardan Capital, founded in part by ex-lawyers, broke away from Merrill and now helps women going through life transitions.
Dallas Cowboy Sues Ameriprise Over Advisor’s Fraud
The football player claims the firm never told him about his ex-advisor's suspension or moved to stop fraud.
Fidelity Expands Managed Account Offering to Advisors, Recordkeepers
The offering is a personalized, customized solution for employee retirement accounts.
Focus Financial to Add $16.5B RIA
SCS Financial and its RIA have more than 80 team members and key offices in New York and Boston.