Matt Sonnen, Wealth Management Vet, Opens PFI Advisors
The new consultancy serves breakaway financial advisory teams and expanding RIAs.
3 Critical Steps to Groom Your Successor
Fidelity discusses three steps RIAs need to take to support young advisors in the firm if they hope to keep them.
IBD Commonwealth Hits $1 Billion Revenue Mark
Meanwhile, its independent reps are averaging close to $600,000 in yearly fees and commissions.
Celebrities Behaving Badly With Money, and How They Were Rescued
Ted Klontz tells ThinkAdvisor stories about the ruinous financial behaviors of the rich and famous, like Wynonna Judd, and how he’s helped them.
What Clients Need and What Advisors Aren’t Doing: Liz Davidson
The Financial Finesse founder offered ThinkAdvisor some pointers on how advisors can attract and retain clients and where she thinks the business is heading.
Want to Get More Business? GuideVine Plays Advisor-Client Matchmaker
Marketing itself as a Match.com-like service, GuideVine helps advisors put their best digital face forward to lure both clients and younger advisors.
Federal Street, Pathstone to Form New Firm
Federal Street Advisors announced on Tuesday that it is merging with Pathstone Family Office.
SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud Rules
SEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients’ accounts" must include "limits on that authority."
Lion Street Announces Strategic Partnership With Voya Financial
Lion Street is partnering with Voya Financial’s individual life insurance business.
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play Rules
Now that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.