Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James' RIA Unit Is on a Roll
By Janet LevauxThe unit boosts assets 36%, topping overall AUM growth for the firm's private client group.
November 01, 2017
Questions Arise on Broker Protocol Manager as Morgan Stanley ExitsThe law firm in charge of the agreement has powerful clients who are signatories, which could cause conflicts, two attorneys say.
October 30, 2017
How Advisors Really Use Morningstar Fund RatingsA recent Wall Street Journal investigation found the ratings have a limited value, but most advisors already knew that.
October 30, 2017
How to Think Outside the ‘Black Box’ on Succession PlanningTo boost their practice valuations, advisors must focus on translating prospective improvements into reality, according to Truelytics Kevin Connor.
October 30, 2017
What Morgan Stanley’s Broker Protocol Exit Means for AdvisorsMorgan Stanley says the accord has become unsustainable; a recruiter says the policy change could make it harder for advisors to leave.
October 30, 2017
SEC Provides Relief to Advisors, BDs From European MiFID II RulesThe action reduces the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
October 27, 2017
LPL’s Advisor Force Dipped in Past YearQ3 net new advisory assets grew by $6.9 billion from a year ago, but net new brokerage assets experienced outflows.
October 27, 2017
Morningstar’s Good and Bad 529 Savings Plans in 2017Morningstar has upgraded ratings for six 529 college savings plans and downgraded ratings for three.