Ed Slott: Advisors Falling Behind on Reg BI Rollover Compliance
By Melanie Waddell"Most advisors don't have a process" to discuss the pros and cons of rollover options, Slott tells ThinkAdvisor.
October 05, 2020
Carson Group Taps More Funds to Fuel Partner Firm M&AsThe firm says it now has more capital to invest in advisory firms and to support partner firms' own acquisition plans.
October 05, 2020
BNY Mellon Taps Another State Street ExecLaura Steinbach's hiring comes some nine months after her colleague Jane Mancini left State Street to join the bank.
October 02, 2020
Raymond James Adds $678M Bank AdvisorsThe four registered reps joined Pinnacle Financial Partners from Wells Fargo and other firms.
October 01, 2020
CFP Board Restructures to Improve Brand, Enforcement EffortsIndustry blogger Michael Kitces and financial planner Ron Rhoades see the group's efforts as positive steps.
October 01, 2020
How Long Will the 'Massive' Schwab-TD Ameritrade Tie-Up Take?The deal is all but done. Now comes the hard part.
October 01, 2020
Dynasty Taps Wirehouse Veteran to Lead Strategic DevelopmentJoseph D'Agostino, who has 35 years of industry experience, will report to Dynasty President and CEO Shirl Penney.
October 01, 2020
Focus Financial Buying $1.6B Ohio-Based RIAThis is the firm's fifth "partner" deal so far this year and its 15th transaction of 2020.