Search
Copyright © 2018 ALM Media Properties, LLC. All Rights Reserved.
Janet Levaux, MA/MBA, is Editor in Chief of "Investment Advisor" magazine; she has covered the financial markets since 1991 and advisors since 2005. After living in Latin America and Europe as part of her studies at Yale and Johns Hopkins SAIS, Janet spent three years in Japan and then 23 years in California raising two sons and pursing a business degree at Saint Mary's. Now based in her hometown of San Antonio, Texas (which turns 300 in 2018!), she is a big Spurs fan.
May 17, 2018
Winners in different asset classes were recognized for their outpeformance and consistency.
May 16, 2018
Leaders of the firm visited 20 cities to meet with registered reps for the second year in a row.
May 14, 2018
Investment Advisor and ThinkAdvisor want you to tell us who are the best independent broker-dealers.
May 09, 2018
Plus, Cetera CEO Robert Moore says there is more hiring to come in business development for the IBD network.
May 09, 2018
The yield curve hasn't flattened much this year, Gundlach says, but another indicator could change the Fed's narrative.
May 08, 2018
Advisors from Wells Fargo and Morgan Stanley join the Raymond James affiliate with an expected $360 million.
May 04, 2018
'The company is not strategically well positioned,' one analyst says, but another is more optimistic.
May 03, 2018
Jodi Perry, who previously led operations in the Southeast, is now leading this group nationwide.
May 02, 2018
Janney also nabs an advisor from Wells Fargo, as Ameriprise picks up a group of four reps from AXA Advisors.
May 02, 2018
The IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
RIA News |
May 01, 2018
Here are the top vote getters in the RIA/Advisory field.
May 01, 2018
'We have never had below 80% support on this advisory vote,' the company said.
RIA News |
May 01, 2018
This year's list is based on readers' opinions and highlights those who are ahead of the pack with their insights, innovation and disruption.
May 01, 2018
The resolution covers trading from 2008 to 2013, several years after a far bigger wave of penalties tied to foreign-exchange trading by other global banks.
May 01, 2018
Scott Romine will lead Advisory Service for Jackson National Life Distributors after several years as head of National Planning Holdings.
ETFs |
April 30, 2018
The deal is ‘interesting’ but raises questions about what Edelman gets out of it, consultant Tim Welsh says.
April 30, 2018
Here are the winners of the 2018 IA 25 Portfolio, Investing and Markets category.
Wealth Manager News & Advice |
April 30, 2018
Dahlberg looks back on what shaped his career and discusses what the industry can do to attract new advisors.
April 30, 2018
Here are the top vote getters for the Independent Broker-Dealer field.
April 29, 2018
Several of the IA 25 winners highlight their best practices and reflect on what they have learned through the school of hard knocks.
April 29, 2018
The broker-dealer relies on advisor feedback to improve its technology, according to Principal Vinny Ferrari.
April 26, 2018
While the bank disclosed the review of retirement-plan issues in a regulatory filing, it did not name the specific agencies involved.
RIA News |
April 26, 2018
Meanwhile, an LPL affiliate, D.A. Davidson and First Republic pick up reps from Merrill; Kestra Financial, Ameriprise, Triad Advisors and others announce new recruits and hires.
April 24, 2018
Barry Connell used clients' money to pay for a country club membership and private jets, the SEC says.
News |
April 19, 2018
Which firm had the best profits? The most advisors? The highest level of assets?
April 19, 2018
The deal should add some 900 advisors and about $23 billion in assets under administration to its base of 500 reps with some $30 billion
RIA News |
April 18, 2018
Meanwhile, LPL-affiliated Trilogy Financial taps a board member with marketing expertise
April 17, 2018
The deal gives the RIA its first foothold in the Lone Star State and could put it at the $55 billion asset mark.
RIA News |
April 12, 2018
Derek Bruton, who most recently worked for Oppenheimer, will become COO of Chalice Wealth Partners' broker-dealer and RIA.
RIA News |
April 11, 2018
Kestra picks up an ex-SII Investments team; Halite Partners has appointed Ric Butler as CFO and COO.
Wealth Manager News & Advice |
April 10, 2018
The transaction could add more than 50 advisors to Woodbury and give it nearly $50 billion in assets.
RIA News |
April 09, 2018
Most of the movers are going to RIAs and independent broker-dealers, Fidelity finds.
April 06, 2018
Mass-affluent investors with at least $10,000 can sign up for the platform.
April 05, 2018
Four investors say the firm misled them about fees and about Jones' 'preference for investing in proprietary funds.'
April 05, 2018
Meanwhile, Fiduciary Trust Company International says Suzanne E. Kline, CFA, has joined the firm from Wells Fargo; InCapital hires industry veteran Paul Motolla as head of Capital Markets.
April 03, 2018
The firm and regulators are investigating many issues; meanwhile, rivals Merrill Lynch and Morgan Stanley announced changes to their ultra-high-net-worth efforts
April 03, 2018
Yes, March was a big news month: The U.S. Court of Appeals for the 5th Circuit voted 2-1 on the 15th to vacate the Labor Department’s fiduciary rule.…
April 03, 2018
Chau Nguyen Haner, who will work closely with the firm’s 4,000 affiliated advisors, had been with the rival broker-dealer since 2009.
RIA News |
April 02, 2018
Letha Steffey, formerly of ADT Security Services, Hallmark and AMC Theaters, is now chief marketing officer for the wealth management firm.
News |
March 29, 2018
Since its launch in 2010, the do-it-yourself online and advised programs have grown to include nearly $185 billion in client assets.
March 29, 2018
Meanwhile, Ladenburg Thalmann and Fidelity share their latest recruiting news; Live Oak Bank, FourPointe Consulting and FiComm Partners announce a special workshop series.
March 26, 2018
The fintech analytics firm says it brought on David Remstein as president and COO to help it double its investment analytics offerings.
March 23, 2018
From 2008 to 2013, the bank did not tell institutional clients it was routing 16 million equity orders to electronic liquidity providers.
RIA News |
March 22, 2018
The departure is ‘surprising news,’ recruiter Jon Henschen says.
RIA News |
March 22, 2018
Fidelity surveyed advisors on their top concerns about making the switch to another firm or to independence.
March 22, 2018
Meanwhile, a $1.5 billion First Allied affiliate buys a $105 million practice; Investacorp taps director of multi-generational consulting group
March 20, 2018
Questioning was conducted by company-hired lawyers, not the FBI, an exec says, but nonetheless ‘clients are commenting on this,’ says Danny Sarch.
March 16, 2018
Employees in Phoenix are being interviewed by investigators concerning the bank's own investment products, according to the Wall Street Journal.
March 16, 2018
The former Morgan Stanley advisor, fired after a $38 million ruling, is now part of Pinnacle Investments.
March 15, 2018
The news comes about two weeks after rival Morgan Stanley moved to form a 66-member team to serve UHNW clients.
March 15, 2018
Plus, Commonwealth Financial and Raymond James add new advisors in California and Massachusetts, respectively.
March 09, 2018
The independent channel sees more advisors joining its rep force of about 500 in the region.
March 08, 2018
The regulator wants to examine the extent of referrals and recommendations tied to 401(k) rollovers.
RIA News |
March 08, 2018
Other advisor groups move to Janney, Raymond James, Securities America, Dynasty and Kestra.
Wealth Manager News & Advice |
March 07, 2018
The startup is a Wall Street darling, say S&P executives, thanks to its smart platforms, complex algorithms and artificial-intelligence abilities.
Wealth Manager News & Advice |
March 06, 2018
NYSE, NYSE Arca, and NYSE American were penalized in the first charges brought by the agency concerning violations of the Regulation Systems Compliance and Integrity rules (or Reg SCI).
March 06, 2018
Sal Cucchiara takes over from Chris Randazzo, who is joining former colleague Greg Fleming at Rockefeller Capital.
March 05, 2018
As the independent broker-dealer makes a tech switch, its advisors react to how plans are being tweaked.
March 05, 2018
"A trade war is probably more dangerous for investors at this time than at any other time in recent history," GMO's Ben Inker writes.
March 02, 2018
Industry watchers expect the probe into the wealth management unit to hurt advisor recruiting and retention.
March 01, 2018
The problems were revealed during an overall review of the bank's operations.
March 01, 2018
Meanwhile, Baird, Raymond James and Kestra announce their latest hires, and a Cetera-affiliated super OSJ shares its growth plans.
February 28, 2018
Starting today, you will see a new look for ThinkAdvisor's website and newsletters. It will feature the same best-in-class content but in a more streamlined and engaging format. Please take them for a test run.
February 28, 2018
The Oracle of Omaha explains the thinking and strategies behind the success of Berkshire Hathaway shares in his yearly letter to investors.
February 27, 2018
Firms must help advisors embrace technology and holistic planning or risk being ‘merged out of the business,’ one executive says; plus, updates on wirehouse issues.
February 27, 2018
As the pace of technology disrupts financial services, experts speaking at industry conferences share ways advisors and clients can adapt in both the short and long term.
February 27, 2018
An esteemed group of experts discusses how recent tax reforms could prompt more individuals to move from high-tax states to low-tax states (as I just did).
February 26, 2018
The network of independent broker-dealers is hiring Goldman Sachs to review its capital structure, which could lead to many possible outcomes.
February 26, 2018
LPL executives have said that some 2,000 NPH reps and $75 billion in client assets are moving to its platform.
From Schwab Advisor Services
Are you ready to go independent? Thousands of advisors have made the transition. Learn how with this guide.
From Black Diamond® Wealth Platform
Explore critical strategies to use in preparation for the biggest generational wealth transfer in history.
From SEI
How much do you love asking for referrals? There are other ways to get referrals--in fact, nine that we’ll share with you. And one important step is to know just how referable you are.
From LPL Financial
As regulations tighten, technology evolves and generations shift, more people look to financial advisors for guidance. Understand why and how you can capitalize on it.
From Orion Advisor Services
Learn a better way to master the constantly changing regulations and quickly adapt to changes.
From INVESTMENTS & WEALTH INSTITUTE
Discover how to increase production and unlock your capacity for peak performance using Neuroscience findings and insights from top advisors around the world.
From LPL Financial
The Tax Cuts and Jobs Act of 2017 ushered in the most comprehensive changes to the tax code we’ve seen in three decades -- learn how it can benefit you and the future of your practice.
From American Portfolios
Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.
From SEI
There’s a shift underway in the advice industry. Your clients’ financial lives are more complex. They’re demanding more transparency and value, and want to take an active role in the planning process.
From Orion Advisor Services
Comprehensive reporting on alternative investments as part of a larger portfolio does not have to be troublesome. Learn more about the biggest challenges and how to overcome them.
From American Portfolios
The tax reform bill passed at the end of 2017 means big changes. Learn the ins-and-outs from this comprehensive guide to help your clients navigate the changes.
From American Portfolios
Build your practice focusing on managing risk and solving for the four common dreams shared by the affluent baby boomers.
From American Portfolios
Learn about the challenges and benefits of Baby Boomers and Millennials working together. Find solutions on how these generations can come together to best serve clients as the industry evolves.
From American Portfolios
ESG Investing is growing substantially as Millennial investors fuel demand for products. This guide outlines ESG history, portfolio opportunities and why ESG is positioned for massive growth.
From American Portfolios
Solidify your cyber-strength with layered cybersecurity. Learn about password management systems and how combining them with two-factor authentication helps keep your online accounts safe.
From American Portfolios
Having a succession plan and ensuring the continuity of business--not only for the advisor, but for the clients they are charged with protecting--is an integral aspect in business of any kind.
From American Portfolios
As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.
From American Portfolios
Millennials are the future of your practice; both as clients and employees. Understand how they think to capture them as clients, attract them as employees and retain them as firm succession plans.
From American Portfolios
Reviewing this paper and incorporating the steps included into your 2018 marketing plan will enable you to be effective and take advantage of the huge swells soon to come.
From American Portfolios
Secure the future of your business with customers from the largest generation in history.
From American Portfolios
Variable annuities are simplifying, bringing new opportunities to grow your business. Take a quick dive into recent product evolutions and how to identify the best clients to engage for conversation.
From American Portfolios
Download this complimentary White Paper to learn the 7 key considerations that will transform your business.
From American Portfolios
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
From Orion Advisor Services
Learn how independent advisors are using new optimization technology to stay competitive and maintain premium pricing, while the industry trends towards discounting and commoditizing services.
From Orion Advisor Services
In an increasingly competitive industry, advisors and independent broker dealers need to differentiate their firm. Learn how providing tax alpha at scale gives you a major competitive edge.
From LPL Financial
A comprehensive handbook for attracting clients through digital marketing.
From Schwab Advisor Services
Why more advisors are choosing to become RIAs
As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.
Copyright © 2018 ALM Media Properties, LLC. All Rights Reserved.
Sign In
Sign In