UBS Grabs 11 Merrill Reps With $5 Billion in Assets
Meanwhile, Wells Fargo recruits a UBS team with nearly $130 million in client assets.
Investing During the Shutdown: Welcome to the ‘Land of Oz’
Washington has become the "Land of Oz run by the Munchkins," Citigroup’s Buiter says. Here’s what the shutdown could mean for your clients.
Three Washington Heavyweights to Drive Advisor Agenda in ’13
Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.
In Election’s Wake: What Now for Advisors?
TDAI offers some insight to changes at SEC, key congressional committees and 401(k)s.
After Obama Victory, How the New Government Is Shaping Up for Advisors: Updated
Some notable newcomers—Elizabeth Warren, for one—join Congress, which remains divided between the two parties as fiscal cliff, tax issues come to fore of national agenda. FPA and FSI's leaders and lobbyists weigh in on what's next.
11 Key Congressional Committees for Advisors to Worry About
As the election approaches, not just the White House and Congress are in play, but also control of congressional committees important to advisors and others in the financial services sector.
The Next Congress
This year’s congressional elections hold considerable potential to reshuffle power on Capitol Hill.
Robert Pozen: The 2012 IA 25 Extended Profile
As chairman emeritus of MFS Investment Management, Robert Pozen used his bully pulpit to argue for Social Security reform and the protection of Americans’ retirement assets.
The Warren Effect
Elizabeth Warren presents a conundrum for Wall Street. She is a forceful, well-prepared critic of the financial industry.
Advising International Clients; Looking Beyond Wirehouses: February Research—Slideshow
Serving internationally mobile clients has become a growth industry for financial advisors, as Contributing Editor Ellen Uzelac discusses in Research magazine's February cover story "Advising Across Borders." Another February article, “Fear of Flying,” tells the stories of brokers who left the wirehouse world in order to become registered investment...