Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
JPMorgan Delays Moving Wealth Clients Amid DOL Limbo
By Hugh SonWith uncertainty surrounding the DOL fiduciary rule, the bank says that its customers can keep using financial advisors.
April 09, 2017
RIAs Now the Biggest Driver of ETF Asset Growth: BroadridgeA new report says fee-based RIAs have replaced institutional investors as the leading force behind the growing demand for ETFs.
April 07, 2017
What Clients Want, and What Advisors Think They WantA new survey reveals several disconnects between the two.
April 06, 2017
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2017Overall satisfaction has risen across full-service broker-dealers, the survey finds, but robo-advisors present a clear threat.
April 06, 2017
Focus Financial Nabs $2.7B RIA; Raymond James Adds Wirehouse Rep: Recruiting RoundupMeanwhile, U.S. Trust hires a philanthropic sales director and S2K brings on a due diligence executive.
April 05, 2017
CFP Board Launches Campaign to Attract Younger, More Diverse AdvisorsThe "I am a CFP Pro" campaign is intended to expand the advisor workforce to better reflect the population it serves.
April 05, 2017
JPMorgan Moves Ahead on Robo-Advisor, but Doesn’t Call It ThatThe bank refers to it as an automated advisor; CEO Dimon says the firm spent $600 million on fintech last year.
April 04, 2017
3 Steps to Offering Fiduciary-Friendly Rollover AdviceFinancial advisors can proactively take these steps to help make the most of the rollover opportunity while preparing for potential changes in the future.