Clayton: SEC Broker Conduct Rule Embodies 'Core Fiduciary Principles'
By Melanie Waddell'We've sought to harmonize the actual duties that are owed' by brokers and investment advisors, Clayton tells lawmakers.
April 26, 2018
RBC Wealth Adds 4 Wells Fargo Advisors: Recruiting RoundupMeanwhile, an LPL affiliate, D.A. Davidson and First Republic pick up reps from Merrill; Kestra Financial, Ameriprise, Triad Advisors and others announce new recruits and hires.
April 25, 2018
RIAs Could See Record M&A Level in 2018: ReportEchelon Partners says that the number of deals set a new record in 2017 and projects that number will rise again this year
April 25, 2018
73% of Advisors Don't Have a Written Succession Plan: FPAMany advisors can relate to the cobbler whose children have no shoes.
April 23, 2018
Pershing Launches New Retirement Plan Oversight Tool: Portfolio ProductsVestwell Partners also introduced a new retirement platform and Harvest added a new hub for practice management.
April 20, 2018
Carson Group Adds $2B in Committed Assets in Q1The firm added 17 new partner firms in Q1; existing partner firms saw a big average uptick in assets.
April 20, 2018
The SEC Just Did Brokers a Huge FavorProposed standards, stopping short of a fiduciary rule, let them keep charging fees.
April 19, 2018
United Capital Delivers a Richer Digital Client ExperienceUnder the new client experience system, firms no longer need to transition their client data to a new CRM.