Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Lou Harvey: Looking for Mr. Dalbar—The 2015 IA 35 for 35
By Gil WeinreichThe wizard behind the curtain of the ubiquitous research firm helped popularize behavioral finance and keeps the industry on top of important issues.
May 12, 2015
Joe Deitch: Keeper of Commonwealth Culture—The 2015 IA 35 for 35Chances are good that Joe Deitch is the only independent broker-dealer chairman that can claim a Tony Award for his work as a Broadway producer.
May 11, 2015
Deena Katz: Process Over Product — The 2015 IA 35 for 35"In the early days, we charged for transactions and gave away advice," recalls Katz. "Today, we do just the opposite."
May 07, 2015
RCS Capital’s Equity Sales, Net Income Plummet in Q1’15Earlier, the firm said April '15 sales of nontraded REITs and other investments were up from their November '14 lows.
May 06, 2015
Morgan Stanley, Raymond James Recruit Big Teams From RivalsIn addition, Cetera Advisors says it is now providing services to a large group that advises pro athletes.
May 06, 2015
Envestnet Acquires FinTech Company Finance LogixEnvestnet will continue to support Finance Logix's standalone financial planning software model for existing and new clients and will create a new, integrated platform.
May 06, 2015
Toward a Workable Fiduciary Standard for Brokers: The 7 QuestionsTo tell if brokers are really acting like fiduciaries, ask these seven questions about a client's portfolio to check for possible broker abuses.
May 05, 2015
Tom Bradley: Advisor Evangelist—The 2015 IA 35 for 35Ask Bradley to look back at pivotal moments that shaped the advisory business and he recalls May Day 1975, the day the SEC deregulated commissions.