SEC Increases Amount of Data Advisors Must Include on Form ADV
SEC adopted final amendments Thursday requiring advisors to disclose more information on Forms ADV about their use of SMAs, branch office operations and social media.
What Advisors May Not Know About the DOL Fiduciary Rule
Pension law attorney Marcia Wagner lays out not just the basics of the rule but some details that may surprise you.
BlackRock’s FutureAdvisor Announces Another Partner for Its Robo-Advisor Platform
BlackRock’s FutureAdvisor platform is adding an automated investing option for clients of U.S. Bancorp Investments.
6 Ways Advisors Can Protect Against 401(k) Lawsuits
MarketCounsel CEO Brian Hamburger talks about how advisors can limit liability as the lawsuits against 401(k) and 403(b) plans proliferate.
Robo-Advice Boosting RIAs' Client Rosters: Report
Automated advice drove a 22.4% increase in the number of RIA clients, according to a report from IAA and NRS.
Focus Financial Files for ‘Confidential’ IPO: Report
An IPO by Focus “would provide retail investors with the best 'pure play' investment in the independent RIA space,” advisor M&A guru David DeVoe says.
Fidelity Launches Global Real Estate Fund; iSectors Adds Growth ETF
The Fidelity real estate fund launch is timed to coincide with a change in the S&P 500 that makes real estate a stand-alone sector.
The Future of Robo-Advice
As broker-dealers and asset managers adopt robo technology, pure-play robo-advisors will morph into offerings that also offer a human touch.
The Fidelity Guide to Attracting and Retaining More Millionaires
“The rich are different from you and me,” F. Scott Fitzgerald once famously commented to Ernest Hemingway, to which the Nobel Prize winning author reportedly replied, “Yes, they have more money.”
DOL Rule: Is That All There Is?
But make sure, RIAs, you're complying with the DOL's Advisory Opinion 2005-23A when providing rollover recommendations to plan participants.