Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Five Things Breakaway Brokers Need to Know
By Kate McBrideThere has been a sizeable uptick in brokers leaving the big broker/dealers (B/Ds) for the RIA world. And why not? RIAs' fiduciary model "resonates at the consumer level," as investors begin to understand the difference between RIAs and brokers.
April 12, 2010
Unsung Heroes in the Rise of a Fiduciary StandardI've written many times over the years about how Ron Roge and other members of the NAPFA board virtually singlehandedly drove fee compensation for advisors...
April 09, 2010
Investors Cap Adds $1 Mil Advisor GroupNortheast Investment Advisors has eight financial advisors, generates over $1 million in annual sales and manages over $100 million in assets.
April 02, 2010
Jobless Rate Unchanged at 9.7% in MarchBut 162,000 full-time jobs added; part-time jobs rose as well
April 01, 2010
Fidelity Launches Service to Help Brokers and RIAs Deal With New Cost Basis RegsNew regulations laid out in the Emergency Economic Stabilization Act of 2008 that are due to take effect in January 2010
April 01, 2010
Wells Fargo to Stage Vote on Exec CompWells Fargo's board of directors said in late February that its stockholders will have the opportunity to cast a non-binding advisory vote on executive compensation...
April 01, 2010
Catching Up With...On March 15, Fidelity Investments announced the creation of a new "client experience" organization designed to meet the evolving demands of Fidelity's advisor clients across...
April 01, 2010
UBS Adds Tax OverlayUBS reports that it now offers a Personalized Tax Management Overlay for a selection of multi-asset portfolios on its Private Wealth Solutions separately managed...