Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors' Growing Pursuit of Independence
By Bernice NapachAccording to a recent Schwab study, the total count of advisors moving to the RIA channel is up nearly 60% from 2013.
October 24, 2018
CFP Board Issues Call to Action to Promote Diversity in the ProfessionIts Center for Financial Planning held its first diversity summit Tuesday and released a report documenting the current lack of diversity in the profession.
October 24, 2018
Morgan Stanley Fight Shows How Firms Smear Exiting AdvisorsDale Cebert fought back and it cost him nearly $2 million in legal fees, but most advisors can't afford to clear their names.
October 23, 2018
LPL Drops Asset Minimum for New Reps, But ...Advisors looking to join the firm's hybrid RIA and bringing less than $25 million will be charged up to 5 basis points.
October 23, 2018
Cetera Beefs Up Tech PlatformCetera Financial Group has launched the Advisor II program, an addition to its My Advice Architect technology program that provides advisors with flexibility…
October 23, 2018
Why the Workplace Gender Gap Should Matter to AdvisorsGoldman Sachs Global Markets Institute reports on the extent of the salary gap and what companies should do.
October 22, 2018
RIA M&A on Track for Another Record YearEchelon Partners and DeVoe & Co. report on Q3 deals and their outlook for 2018.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.