Securities America Adds $446M All-Women RIA: Recruiting Roundup
Meanwhile, RBC draws teams from Wells Fargo and UBS, and Ameriprise brings on a group from Merrill Lynch.
SEC’s Top 3 Enforcement Priorities
Stephanie Avakian, co-director of enforcement, said the agency is trying to be “more strategic,” expanding the use of digital analytics in investigations.
Brokers ‘Not Happy’ With Merrill’s New Comp Plan: Recruiter
Danny Sarch criticizes the bonus hurdles, while other industry watchers say the targets are achievable.
Lessons for Advisors From a Bus Tour
The American Century/Investopedia tour, covering six cities in five states, found that advisors should focus more on financial planning than portfolio management to attract clients.
Wells Fargo Finally Launches Its Robo-Advisory Service
Intuitive Investor is available for clients with a minimum $10,000 in assets for a fee of 50 basis points.
Number of Advisors Going Indie Up 75% Since 2012: Schwab
Schwab Advisor Services analyzed SEC registration data to determine the number of advisors who entered the independent space.
Merrill Edge Exec: What New Technology Means for Clients
In an interview with ThinkAdvisor, Aron Levine highlights the thinking behind Merrill Edge's DIY platform, robo offering and virtual assistant.
Platform by cleverDome Would End VPNs, Shift Data to Trusted Network
At t3 conferernce, cleverDome says it would eliminate the need for VPNs, seeking to move financial data off the open internet.
Woodbury Adds $2B OSJ, RBC Picks Up $1B Teams: Recruiting Roundup
Plus, Raymond James, Baird, Kestra and other firms announce their latest hires.
Questions Arise on Broker Protocol Manager as Morgan Stanley Exits
The law firm in charge of the agreement has powerful clients who are signatories, which could cause conflicts, two attorneys say.