10 More FAQs About Moving to the RIA Model
By Brad WalesHere are answers to some common questions about AUM, compensation and compliance.
May 13, 2021
Ex-LPL Rep Pleads Guilty to Stealing More Than $600K From Retired ClientThe broker transferred funds from his 73-year-old client's investment accounts to a joint bank account and withdrew most of it for his own use.
May 13, 2021
Fidelity Adds Capabilities to Integration Xchange: Tech RoundupAlso, LPL's new Meeting Manager tool helps advisors prepare for client meetings.
May 13, 2021
Time to Sell or to Grow?Selling should be based on a timeline that fits your firm's objectives, not on what the rest of the market is doing.
May 13, 2021
Atlanta RIA Homrich Berg Appoints New CFOJamie Hennessy will replace Tony Guinta at the end of May, the Atlanta-based RIA says.
May 12, 2021
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSIDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
May 10, 2021
Cetera Adds $2.4B RIA From MassMutualTotus Wealth Advisors has offices in Houston and the Woodlands, Texas, with plans to expand.
May 10, 2021
Ron Rhoades Joins Kentucky Advisory FirmThe finance professor and fiduciary advocate has joined Louisville-based ARGI as a financial advisor and content specialist.