Raymond James Backtracks on Chargebacks
Raymond James has reversed a decision that would have required some advisors to cover fund fees and charges being refunded to clients after getting pushback from advisors.
White House Memo Offers a Peek at DOL Fiduciary Strategy
Two top Obama economic advisors write in an internal memo that DOL should tighten broker rules; they share some details from the long-awaited fiduciary redraft.
8 Oddest Enforcement Cases of 2014
Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
Do Alternatives Really Boost Portfolio Performance?
Morningstar research shows ETF-managed portfolios emphasizing alternative investments are not strong performers.
The 2014 Broker-Dealer Reference Guide
Some observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
Perks of Going Indie: Recruitment Bonuses, Higher Payouts, Supportive CEOs
The world of independent RIAs and broker-dealers is wider and deeper than many advisors suspect. On Wednesday, a ThinkAdvisor trade show will help you navigate.
Merrill Edge Makes Big ETF Push
The mass-affluent platform is likely to add alternatives and other products in the future to boost assets and clients, executives say.
12 Days of Outlooks: What Advisors Need to Know About 2013
AdvisorOne’s editorial dozen of 2013 Outlook stories surveys economy, markets, retirement, practice management and tech future for advisors and their clients.
Dychtwald and Retirement Reset; Gold’s New Environment: December Investment Advisor—Slideshow
How is the "new retirement paradigm" holding up in the new normal?