Pretty Good Week for Live Oak Bank: $200M in Advisor Loans, Plus an IPO
The bank that lends to small businesses held a successful IPO in the same week it hit the $200 million mark in advisor loans.
Wells Fargo Adds Morgan Stanley Reps; LPL Picks Up Team From JPMorgan
Also, an LPL affiliate forms an RIA partnership to attract new reps to its network.
An Overlooked Benefit of Going Independent: Quality of Life
Freeing up time for a balanced life is invaluable, but too many IBDs send a message to reps that’s not much different than the wirehouses.
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: Lawyer
The proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRA’s loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
Are Robo-Advisors Poised to Take Over?
Wealthfront and Xignite, a cloud-based market data firm, lay out the case for why they are the future of wealth management.
Which Advisors Have Loyal Clients — and Why?
Client loyalty is a key to advisors’ success. Here's how to keep it afloat.
‘Mutual RIA’ With Advisor Profit Sharing Launched by LPL Affiliates
Good Life Advisor Systems aims to share profits with all of its partnering reps nationwide, not just principals.
DST’s Gordon: New Clearing Platform to ‘Transform’ Business Model
Gordon, who will head the business, tells ThinkAdvisor that DST will challenge Pershing and National Financial.
Why Clients May Not Trust You and Your Financial Plan
Your client or prospect's past experiences with a “financial planner,” and what they hear and read about planning, may cause them to be skeptical.
Top 10 IRA Rollover Destinations
Affluent investors are expected to roll over about $280 billion into IRAs this year. Where is that money going?