Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
73% of Advisors Don't Have a Written Succession Plan: FPA
By Bernice NapachMany advisors can relate to the cobbler whose children have no shoes.
April 19, 2018
SEC Broker Conduct Plan Is Not a Fiduciary StandardAdvocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
April 19, 2018
Raymond James Longevity Planning Resources: Good for Clients, Great for AdvisorsSuite of tools provides much-needed solutions for clients while helping advisors grow their business and justify their fees.
April 19, 2018
Atria to Buy IBD Cadaret GrantThe deal, which is supported by Lee Equity Partners, should add some 900 advisors and about $23 billion in assets under administration to its base of 500 reps with some $30 billion.
April 19, 2018
M&A Activity for RIAs Surges in Q1, Poised for Boffo YearBreakaway activity also accelerated after several high-profile exits from the broker protocol.
April 18, 2018
Kestra Nabs Veteran Merrill Team in Ohio: Recruiting RoundupMeanwhile, LPL-affiliated Trilogy Financial taps a board member with marketing expertise
April 18, 2018
CFP Board and NAPFA Announce New CollaborationThe collaboration deepens a long-standing relationship and can benefit both organizations and their members.
April 16, 2018
VanEck Launches Real Asset ETF as Inflation Hedge: Portfolio ProductsIn other product news, Research Affiliates launched a new smart beta strategy.