What 8 Industry Leaders Think of SEC's Advice Standards
By Melanie WaddellHere's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.
August 03, 2018
Post-IPO Focus Financial Adds $3.5B GroupWith the initial public offering, the RIA industry has "a great real success story," according to one industry consultant.
August 02, 2018
Wirehouses Are 'Doing Just Fine': United Capital's BrinkerDespite projections that wirehouses are losing market share, the United Capital exec thinks they have the potential to be "formidable."
August 02, 2018
SEC Reg BI Stricter Than Fiduciary, Will Cause Brokers to Flee: PeirceThe push for fiduciary standards for all "will have the perverse effect of harming investors," Commissioner Hester Peirce says.
August 02, 2018
Chicago Advisor Takes On Gun ViolenceRick Meyers' firm, Bernstein Wealth Management, helps clients get involved, too.
August 02, 2018
$550M Wells Fargo Group Moves to Raymond James: Recruiting RoundupPlus, Dynasty Financial Partners helps Michael Henley and several other Merrill Lynch advisors go independent.
August 01, 2018
The Do's and Don'ts of Selling New Comp PlansWhen rolling out a new compensation plan, the first rule is to not release it before its time; otherwise, you are asking for trouble — often big trouble.
August 01, 2018
Fidelity Unleashes No-Fee Index FundsTwo funds will have no expenses or minimums, and 21 other funds will have no minimums and one low fee for retail and institutional investors.