Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Kitces to Advisors: Don’t Fear Robos
By Bernice NapachTechnology, not robo-advisors per se, is transforming the advisory business, says industry blogger and wealth manager Michael Kitces.
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 18, 2017
Schwab, TD Ameritrade Post Strong Q4 Earnings as New Accounts, Assets SoarAssets in proprietary Schwab ETFs rose more than 50% from last year to $62 billion.
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 13, 2017
Janus Advisor Guide: Beware of Correlations, and Other Investment TipsJanus Funds 2017 Wealth Advisors Guide identifies the intended and unintended risks of advisors asset allocations in their model portfolios.
January 12, 2017
SEC's Top 6 Exam Priorities for 2017The exam unit has outlined areas where it sees risk to investors.