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.
Ken Fisher’s Backhanded Call to Arms
Ken Fisher's provocative statements about RIAs' demise in 10 years should be a wake-up call to all RIAs to make their voices heard in Washington.
Will the SEC Create Two Kinds of Fiduciaries?
The debate rages on about what Dodd-Frank said the SEC could — or could not — do in writing a fiduciary rule for brokers.
Schwab Offers 7 Changes to SEC’s Money Fund Plan
Charles Schwab filed its comment letter Thursday, saying that while it “generally supports” the SEC’s plan, it has a “significant number of concerns."