For Compliant Advisors, Known (and Unknowable) Unknowns
The SEC, FINRA, DOL — regulations and oversight come from all sides, and anticipating what's compliant today but won't be tomorrow is a tricky game.
America Is Changing. Are Advisors Ready?
Big shifts in the U.S. population will challenge advisors’ assumptions about planning and may well lead to a change in the demographics of their clients.
Going Independent: Several Choices, Several Solutions
Here's how to navigate the numerous options available for a dramatic career shift.
Moneyball for Advisors
To successfully compete with your bigger and better-funded competitors, play an independent advisor’s version of Billy Beane’s Moneyball.
UBS Nabs $1.3B Merrill Team; Wells Fargo Grabs $1B Morgan Stanley Reps
Meanwhile, Raymond James recruits groups with more than $800 million in client assets to its employee channel.
Fund Managers’ Pessimism Grows on China Recession Worries
Concerns about emerging markets and China have prompted the biggest investors to adopt a “risk-off” stance, according to BofA Merrill Lynch’s latest fund manager survey.
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.
The Real Cost of Investment Fees
Personal Capital, an online advisory firm, just released a report showing how much money investors lose paying fees to financial institutions.
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.
12 Best & Worst Broker-Dealers: Q2 Earnings, 2015
The financial sector boosted income 7% on average in the latest period as sales jumped 19% from a year ago.