Sontag Joins Board of Focus Financial; Bruton In as Lucia Capital CEO
These growing firms aim to add more advisors — and business — from the wirehouses, as well as from independent firms.
Advisors: Don’t Sell Your Practice!
Selling your advisory practice — a move stressed in a ceaseless torrent of industry advice — may be hazardous to your wealth.
Americans Feeling Grim About Their Financial Future
Don’t tell working Americans they’re in the midst of an economic recovery. A Harris poll found some gloomy results.
Beyond Termination Fees: How Advisors Charge Clients to Fire Them
While advisors occasionally charge termination fees, FireMyAdvisor co-founder Dave Dickinson says that’s not the only method advisors use to hold on to unhappy clients.
TD Ameritrade Trading Down, Profits Up: Q2 Earnings
TD Ameritrade quarterly earnings rose 21% from a year ago while trading "went a little south."
This Guy Made Advisors Lose $20 Million Accounts
Many RIA firms dread SEC audits, particularly unscheduled ones, but there’s a new auditor in town who may be looking over your shoulder.
Schwab Profit Up 27%: Q2 Earnings
Schwab reports more than $1 trillion in client assets managed by indie advisors.
20 Best Ways to Fix Dodd-Frank Act
Former Sen. Chris Dodd says his namesake financial reform law is "working pretty well." But the Bipartisan Policy Center sees room for improvement.
RIA Profits, Growth Hit 8-Year High: Schwab
Schwab's annual RIA benchmarking study teases out the secrets to the success of the best-managed firms.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
Meanwhile, RIAs affiliated with Focus Financial and LPL add reps.