Morningstar to Help BDs Manage Small 401(k)s
By Bernice NapachMorningstar Plan Advantage will let broker-dealers offload the fiduciary responsibility of managing defined contribution retirement plans.
August 11, 2016
Dynasty Financial Rolls Out Framework for Expanding RIAsThe partnership aims to help more advisors grow assets by taking on their growing back-office work.
August 10, 2016
Treasury's AML Rule for RIAs Could Kick In Any Day NowBe forewarned that AML rules have a way of expanding to new and unanticipated areas, creating large enforcement targets for regulators to pursue aggressively.
August 10, 2016
Recruiting Roundup: Raymond James, Cetera Add GroupsMeanwhile, two RIAs merge to form group with $13 billion in client assets.
August 10, 2016
LPL Sees Big Uptick in Recruited RepsA large number of advisors moved to the IBD from Cetera Financial, Advisor Group and other broker-dealers.
August 10, 2016
SEC Names Snyder Co-Head of Advisor ExamsSynder joins Jane Jarcho in OCIE to help oversee more than 520 lawyers, accountants and examiners.
August 10, 2016
Should You Hoard Cash Before the Election?Gary Shilling suggests cash allocations of 30% to 50%; S&P's Sam Stovall says holding cash makes sense. But there are less dramatic ways to speculate.
August 10, 2016
Advisor M&A Maintains Record Pace in First Half: DeVoeThe average size of firms involved in M&A increased sharply as banks and PE firms emerged as buyers.