More Advisor Audits Needed—Only Not From SEC: Pitt, Schweiss
Harvey Pitt and Skip Schweiss agree: it's time to privatize advisor audits.
Fidelity Partners With Robo-Advisor LearnVest
Deal will give Fidelity IWS, National Financial advisors ‘preferred pricing’ and educational tools to reach ‘emerging’ and mass affluent clients.
Raymond James Adds Ex-LPL Group in N.J.
Boutique wealth groups add teams in Arizona and Iowa.
The Day After Veterans Day
I’ll admit it: I didn't know what to write about this month in this magazine where I’ve written editor's notes for about 13 years.
TD Ameritrade Endows Director of Financial Planning for Texas A&M
Nathan Harness, currently an assistant professor of finance at TAMU, will step up to the position of TD Ameritrade Director of Financial Planning.
Schwab, Fidelity Stop Sales of Schorsch-Led Nontraded REITs
The custodial firms join a growing number of broker-dealers abandoning American Realty Capital and Cole products after an accounting scandal.
SEC Sanctions Schwab, TD Ameritrade, 11 Others on Puerto Rican Junk Bond Sales
The SEC Monday sanctioned 13 firms under MSRB's minimum investment rule intended to keep retail investors out of higher-risk offerings.
Ben Bernanke and George W. Bush Highlight Schwab Impact 2014
Schwab Advisor Services annual conference expected to attract 1,700 advisors for a collaborative learning experience (with entertainment by Train).
82% of RIAs Expect Boost in M&A Deals: TD Ameritrade Survey
Yet only 8% say they really expect to complete tuck-ins of advisor teams this year.
Robo-Advice ‘Not a Zero-Sum Game’ as Schwab Stomps Into Arena
Pershing conference speakers take a "wait-and-see approach" to Schwab’s new automated service; robo-advisors seen as threat to full-service brokers.