What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
A New Hope
In the individual video interviews I conducted with the leaders of the 2014 Broker-Dealers of the Year, I asked what advice they’d give to a college student considering a career in the financial advice field.
New Hire Roundup: American College Names Johnson President and CEO
In another personnel move, Advisor Software has hired Charles Brown as vice president of business strategy.
Sontag Joins Board of Focus Financial; Bruton In as Lucia Capital CEO
These growing firms aim to add more advisors — and business — from the wirehouses, as well as from independent firms.
Liquid Alts; Women and Money; Growth by Design: Investment Advisor August Features—Slideshow
After stocks’ performance the past few quarters, some investors might be tempted to stick with what looks like a good thing.
Top Portfolio Products: Incapital Launches Farmer Mac Notes Program
Meanwhile, a new partnership between PwC and Salesforce.com allows wealth managers to use the cloud for numerous functions.
Mobile Brokerage Account Use Nearly Doubles vs. 2011
Among other findings, Corporate Insight discovered that iPhone and iPad apps were the most popular platforms for mobile account access.
TD Ameritrade Trading Down, Profits Up: Q2 Earnings
TD Ameritrade quarterly earnings rose 21% from a year ago while trading "went a little south."
Too Small to Fail (at Succession Planning)
Judging by the amount of coverage succession planning has been getting in the trade press in the past couple of years, it is one of the most pressing problems facing the independent advisory industry today.
Finding a Custodian That Fits, Part 2: TradePMR
In the second in our series on the pros and cons of RIA custodians, we take a closer look at TradePMR.