Raymond James Sees 34% Jump in July AUM
Meanwhile, Charles Schwab reports $8.8 billion in net new assets for the month.
The Weakest Link
While it’s hardly news that businesses are exposed to reputation and liability risk through suppliers, the factory collapse in Bangladesh in April has upped the ante considerably.
How Financial Reform Became a Fiasco
Three years after Dodd-Frank’s passage, President Obama and Congress have failed to shepherd sound financial-industry rules, or level with the public.
SEC Fiduciary Rule Unlikely in Dodd-Frank’s Third Year of Life
Advisors, including Harold Evensky, and industry officials are increasingly pessimistic that the year will bring a uniform fiduciary rule. However, the first designation of an asset management firm as systemically important could be coming soon.
Royal Alliance Recruits 50-Rep, $1.4B Group
Savage & Associates, which has offices in Ohio and California, is the latest organization to affiliate with the independent broker-dealer.
Palaveev: First Allied Sale Part of a ‘Second Wave’ of Investment
Philip Palaveev discusses what the interest of private-equity investors like Nicholar Schorsch means for independent broker-dealers.
Top 10 Most Disliked U.S. Companies: 2013
AdvisorOne focuses on the bottom 10 in a Harris poll ranking consumers’ opinion of the reputation of America’s 60 most visible companies.
Five Years After the Crisis, Can We Prevent the Next One?
The U.S. has made progress, but measures like money-market fund regulation are needed to avert future financial instability, a Fed governor says.
Larry Roth: The 2013 IA 25 Extended Profile
Think about this the next time someone complains about not being able to “find the time” to get involved.
Middle-Age White Guys Need Not Apply: AIG’s Advisor Group Diversifies Recruitment
The traditional image of the wirehouse-trained advisor serving strictly HNW white males is giving way as women challenge assumptions about who the average investor is.