Recruiting Roundup: Raymond James Nabs $550M Team From UBS
Meanwhile, U.S. Trust adds four advisors, and Cetera picks up Gough Financial as part of an OSJ.
Recruiting Roundup: UBS Adds $5B Team From JPMorgan, Advisor From Merrill
Meanwhile, Wells Fargo recruits JPMorgan rep, as Ameriprise picks up four ex-Wells FAs.
Is Market Volatility Spooking 401(k) Investors?
Balances in 401(k) accounts dropped due to recent volatility and unusual trading volume. Here's what happened and how recordkeepers dealt with nervous sponsors.
CFP Board Sanctions 2 More CFPs Over ‘Fee-Only’ Comp Status
CFP Board has issued public disciplinary actions against two CFPs for misrepresenting their compensation method as "fee-only."
Recruiting Roundup: Morgan Stanley Grabs $1B Pair From Citi
The team comes on board in New York, while a Barclays rep joins the wirehouse in Boca Raton.
Which Wirehouse Tops LPL’s List of Recruited Reps?
The independent broker-dealer is adding a sizable number of teams and advisors from one firm in particular.
Climate Change: What It Means for Advisors
Economists, current (and former) policymakers and advisors are assessing the ways climate change is impacting the economy.
DOL Set to Issue Final Fiduciary Rule
Even before the mid-August hearings at DOL headquarters, Labor Secretary Tom Perez confirmed: A final rule will be issued once the comment period expires.
Is Using Big Data Price Optimization — Or Price Gouging?
Insurance provides a valuable bulwark in case of loss, but also allows clients to sleep at night. Peace of mind is worth a premium — but how much?
Bridging Advisor-Lawyer Gap to Boost Business
How to build advisor-attorney networks that will generate referrals and benefit clients.