Focus Financial Adds $1.5B RIA in North Carolina: Recruiting Roundup
By Janet LevauxKestra, Dynasty, Securities America, FiNet, Janney, Mercer and RBC announce new advisors and teams.
September 11, 2017
How the Clients You Don’t Take Can Grow Your FirmWhen a prospect doesnt meet your firms minimums, instead of turning them away, take the meeting.
September 11, 2017
What Workers Want, and Aren’t Getting, From Their 401(k) PlansA new survey from Betterment for Business finds that many plan participants want a lot more service than their plans provide.
September 11, 2017
FinaMetrica Offers XYPN Members Risk Tolerance Toolkit: Portfolio ProductsIn addition, Franklin Templeton launched two new municipal bond ETFs and Sage Advisory Services added a customized laddered muni strategy.
September 08, 2017
Number of RIA Deals Could Reach Triple Digits in 2017: SchwabThe 2017 transaction volume is keeping pace with the 2016 total of 94 deals.
September 08, 2017
FINRA Mulls Releasing ‘Bulk’ BrokerCheck DataBulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
September 08, 2017
Tom Bradley’s Sad, but Unsurprising, Exit From TD AmeritradeIndustry watchers explain why the popular institutional and retail chief saw his role eliminated after a $4 billion merger with Scottrade.
September 07, 2017
Bradley Out at TD Ameritrade, Scottrade Exec InTom Bradley, who built TD Ameritrade's RIA business, was not picked to lead the merged firm's retail distribution.