SEC Bars Advisor, Fines Another for 12b-1 Infractions
By Melanie WaddellA former Credit Suisse advisor must pay more than $2 million for recommending shares with a 12b-1 fee instead of lower-expense institutional shares.
April 04, 2017
How Much Is an Advisor Worth? Much More Than They Charge: RussellRussell Investments calculates how much value advisors add to the typical client's portfolio.
April 04, 2017
3 Steps to Offering Fiduciary-Friendly Rollover AdviceFinancial advisors can proactively take these steps to help make the most of the rollover opportunity while preparing for potential changes in the future.
April 04, 2017
These 4 Behaviors Lead to Financial ConfidenceOnly 21% of those in a Guardian Life survey are confident about their current behaviors and future prospects.
April 03, 2017
You Will Fall DownI fell down the stairs recently. Actually, I fell down an escalator. Going down. Near the bottom.
April 03, 2017
Aspire to Be the Employer of ChoiceAmong the most complicated aspects of an enduring business is people; specifically, recruitment, retention and development of talent.
April 03, 2017
When You’re Gone, Will Your Firm Endure?Many advisors find themselves stuck when it comes to creating a viable succession or exit plan.
March 31, 2017
Congress Asset Management to Acquire Century’s Investment Management BusinessThe acquisition will give Congress "critical mass" in the small cap growth space.