Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Active Management Isn’t Dead, but It’s Evolving: Vanguard’s Tom Rampulla
By Bernice NapachThe managing director of Vanguard Financial Advisor Services makes the case for low-cost actively managed funds.
January 19, 2017
Ron Carson Completes Move From LPL to CeteraThe wealth management group has over $6.5 billion in assets on its RIA platform and other operations.
January 19, 2017
HighTower Adds $1B Team in Florida: Recruiting RoundupThe group is moving from Wells Fargo Private Bank; meanwhile Focus Financial says a partner firm has wrapped up a deal.
January 18, 2017
Only 16% of Advisors Are Women: CerulliCerulli makes the case that increasing womens representation among advisors brings concrete business advantages.
January 18, 2017
CFPB Sues Navient, the Largest US Student Loan ServicerThe CFPB charges Navient with illegal practices that pushed borrowers deeper into debt or prevented their participation in income-driven repayment plans.
January 17, 2017
LPL Adds $810M Bank ClientFirst Interstate Wealth Management has about 40 advisors and 80 offices in Montana, Wyoming and South Dakota.
January 12, 2017
SEC's Top 6 Exam Priorities for 2017The exam unit has outlined areas where it sees risk to investors.
January 11, 2017
Mercer Adds New York RIA; 2 Groups Rejoin SII Investments: Recruiting RoundupThe RIA in the Big Apple has $100 million in assets, while the California and New Jersey advisor groups have a total of $220 million.