At Triad, Being RIA Friendly Is Old Hat
Many broker-dealers have moved over the past few years to accommodate their fee-based reps by adding a custodial platform so those reps can run their own RIAs.
Top 25 Indie BDs by Annual Revenue
All 58 presidents in Investment Advisor's 2014 BD Reference Guide poll said they believed in the viability of the IBD model.
The 2013 Broker-Dealer Reference Guide
Raging bulls, skyrocketing energy production, baby boomer retirement—for such a seemingly volatile industry, in the past year, surprisingly little has changed.
New Hire Roundup: Hedge Fund Association Announces Officers; Carlyle Names Board
This week in new hires, Hedge Fund Association announced newly elected officers; Carlyle Group named new board members; Altegris welcomed Amy Bennett; Sanjay Puri joined Zephyr Associates.
New Hire Roundup: Prudential’s King Named SVIA Chair; Cambridge Promotions
This week in new hires, James King of Prudential Retirements Stable Value Markets Group was elected as SVIA chairman of the board, and Cambridge announced several internal promotions.
Web Seminar Preview: Five Things You May Not Know About Women and Wealth
Wealth Manager's 50 Top Women in Wealth are changing Wall Street in ways that may surprise you.
? The Certified Financial Planner Board of Standards released January 2 proposed revisions to its Disciplinary Rules and Procedures that it says outline the duties...
Division IV, Cambridge Investment
Cambridge Investment Research, Inc. Founder, President, and CEO Eric Schwartz Founded: 1981 Producing reps: 1,099 2007 estimated gross revenue: $235 million 2006 average annual gross production per rep: $207,000 Ratio of...
Broker/dealer resource guide 2007
Click here to download featured Broker/Dealer profiles from the July 2007 issue of Boomer Market Advisor . Advantage Capital Corp. Atlanta, Ga. 800-235-2237 www.joinacc.com Years in business: 60 Number of producers:...
William M. Topkis
Topkis Financial Advisors 910 Foulk Road, Suite 100 Wilmington, Delaware 19803 Phone: 302-654-4444 Web site: www.topkisfinancial.com Year practice started: 1994 AUM: $50 million Number of advisors in firm: two Number of clients: 100 Compensation:...