Schwab-Morgan Broker Battle Is ‘Tricky’: Expert
FINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
SEC Cracking Down on Wrap Fees; Wins Court Case
The SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
A Different Take on the Invasion of the Robo-Advisors
Beyond the hype, what are the investment approaches held by the biggest online advice providers, and which human advisors stand to lose?
Self-Directed Investors Increased ETF Allocations
Self-directed investors are opening up to ETFs in their retirement accounts, an analysis by Schwab found.
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRA
In comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
Raymond James, Securities America and NFP Unit Add Teams, Breakaways
Six reps, including two father-son teams, switched firms with a total of more than $920 million in client assets.
RIAs Biggest Buyers of Firms in 2013
RIAs overtook strategic acquiring firms as the leading buyer of other firms in 2013, according to Schwab Advisor Services.
Securities America Hybrid RIA Platform Adds Sales Director
Hybrid-advisor platform Arbor Point names Jeffrey Schmaltz a sales director; a former Edward Jones rep discusses how to navigate the tough road to independence.
Ex-Schwab, Fidelity Exec: Be Careful Whom You Trust
Tim McCarthy talked to ThinkAdvisor about being president of Schwab and Fidelity, revamping struggling Asian firms and the good things Bernie Madoff did.
Schwab Earnings Up 51% in Q4 on Record $2.25 Trillion in Assets
Net income of $1.1 billion for full year is most since 2008; RIAs managing $946 billion in assets.