Mariner Wealth Adds $1.3B RIA in Florida
By Janet LevauxThe move brings the number of deals for the $22 billion firm this year to six.
April 18, 2019
LPL, Raymond James Nab Wirehouse Reps: Recruiting RoundupPlus, Steward Partners secures a $50 million investment; RIA Integrated Financial Partners adds a team.
April 18, 2019
CFP Board Releases Career Best Practices GuideThe guide highlights the importance of clear and transparent career advancement, the CFP Board said.
April 17, 2019
New Jersey, Nevada Likely to Pass Fiduciary Rules: AttorneyUnlike the rule that was defeated in Maryland, the New Jersey proposal "doesn't need votes, per se," a lawyer says.
April 17, 2019
SEC Fires Off Warning on Privacy RegulationOCIE sets out violations of Reg S-P that have shown up in recent exams.
April 16, 2019
5 Truths About the Pricing Revolution in Wealth ManagementSchwab's new subscription-based service is a needed shake-up to the industry.
April 16, 2019
Will Trump Memo Slow Down SEC's Reg BI?A memo from the OMB states that major rules, like the SEC's best-interest rules, must be reviewed by Congress.
April 15, 2019
New Jersey Unveils Proposed Fiduciary RuleThe proposal covers BDs, agents and advisors but excludes some advisors already acting as fiduciaries.