Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds $5M Morgan Stanley Team
By Janet LevauxThe four advisors switch firms with about $460 million in assets in Mt. Laurel, New Jersey.
February 09, 2017
Northwestern Mutual Wealth Management Hits $100B in AUMNorthwestern Mutuals client investment AUM has more than doubled from 2006 to 2016.
February 09, 2017
Bogle: ‘Fiduciary Principle Will Live On’ No Matter WhatThe lower cost funds and fee-based accounts created in response to the fiduciary rule will remain, writes the former Vanguard CEO.
February 08, 2017
HighTower Nabs $1B Breakaway Duo in New York: Recruiting RoundupMeanwhile, RBC adds a pair from Merrill Lynch in Minneapolis with $1 million in yearly fees and commissions.
February 08, 2017
The Future of the DOL Fiduciary Rule Could Be Decided This WeekAs a federal judge in Texas has ruled in favor of the Labor Department, clarity could be coming soon.
February 07, 2017
PE Firm to Buy Financial Compliance OutsourcerLovell Minnick, an owner of Lincoln Investment Planning, is set to acquire Foreside Financial Group, which works with BDs and IAs.
February 06, 2017
TD Ameritrade CEO's Top 6 Guiding PrinciplesIn his first appearance at TD Ameritrade's National LINC conference as CEO, Tim Hockey expounded on his principles for growing a business.
February 03, 2017
Advisors Mixed on Trump’s DOL Rule ReviewRIAs at TDAI conference expect to keep their competitive edge since they are already fiduciaries.