Dynasty Pilots Program to Match Wealthy Prospects With Advisors
By Jeff BermanA beta launch of the new Dynasty Connect referral program started with a small number of advisors in the firm's network.
November 08, 2021
10 New Findings on How Investors Pick an AdvisorPhilip Palaveev's Ensemble Practice looked at why, how and from whom investors seek advice.
November 06, 2021
JPMorgan Starts 'Pilot' for Remote Advisory UnitThe call-center based offering aims to attract clients with $25,000 in investable assets, according to the bank's filing.
November 05, 2021
Beware of Index Funds' Dominance: AuthorRobin Wigglesworth says BlackRock, Vanguard and State Street could someday control most voting shares of the world's largest firms.
November 05, 2021
6 Trends Reshaping the Wealth IndustryThoughtLab Group study reveals how advisors and firms can move to a more client-centric approach to succeed.
November 05, 2021
SEC to Update Electronic Filing RequirementsSEC commissioners unanimously approved the amendments, which are subject to 30 days of public comment after publication.
November 05, 2021
SEC Makes Major Change to Ad Rule ComplianceInvestment advisors can no longer rely on SEC staff letters about current advertising and cash solicitation rules.
November 04, 2021
Backdoor Roth Lockdown Plan Is Back; Here's What Advisors Should Do Next: Ed SlottUnder the Democrats' revised plan, the backdoor Roth curbs wouldn't take effect until 2029.