What Do You Do When the FBI Is at Your Door?
It is not uncommon for an advisor to be contacted by criminal authorities regarding accounts they manage.
How Young Financial Advisors Can Invest in Themselves
One of the most overlooked parts of advancing one's career is self-investment.
Advisor M&A Growth Is ‘Subplot of a Bigger Story,’ Says Schwab’s Beatty
Record number of 2016 transactions reflects growth of RIA industry and confluence of buyers’ and sellers’ shared search for "durable" businesses.
Triad Adds OSJ With 11 Reps, $5B in Assets: Recruiting Roundup
Meanwhile, Cambridge promotes executive; Echelon Partners taps ex-LPL M&A specialist, others for new roles.
SEC Issues No-Action Letter on Advisors’ ‘Imputed Custody’
Letter is a “significant development that should bring much-needed clarity” to advisors, said IAA’s Grossman.
Fidelity Posts 20% Profit Increase on Modest Revenue Growth in 2016
"Careful cost management" provided $3.5 billion in operating income for the year on a 3.4% rise in revenue to $15.9 billion.
How RIAs Can Promote Their Fiduciary Standard
Whether the DOL fiduciary rule gets repealed or not, clients will have questions. Here's how to get ahead of those questions.
Lincoln Financial, AIG Launch Fee-Based Annuities: Top Portfolio Products
In other product news, Tortoise, IndexIQ and First Trust launch new ETFs.
California Regulators Check 1% of BDs, Investment Advisor Firms: Report
Less than 270 exams took place in the 2015-16 fiscal year, according to the state's Department of Business Oversight.
New Robo-Advisor Targets Minority Communities
Finhabits is focused on minority clients because many Latinos and African-Americans don't have retirement funds, says founder Carlos Garcia.