Advisors, Beware! Examiners Are Watching Ever More Closely
By James J. GreenSEC and states stepping up communications and exams is a double-edged sword for RIAs, says Kelli Haugh of National Compliance Services.
April 20, 2016
United Capital Opens Its Tech Tool Chest to Indie AdvisorsUnited Capital has launched FinLife Partners, a turnkey advice and planning platform that allows advisors to white-label the firm's proprietary tools.
April 19, 2016
The Top 10 ‘Boomtowns’ in AmericaRealtor.com chose these neighborhoods based on their growth in households, jobs and housing starts.
April 19, 2016
SEC to Launch 12b-1 Fee Share Class InitiativeThe agency is also knee-deep in assessing the scope of potential third-party advisor audits, SEC officials said.
April 19, 2016
Wirehouses, Banks Control 75% of HNW Assets: CerulliHowever, Cerulli expects the growth of multifamily offices and RIAs to outpace the wirehouses and particularly banks over the next five years.
April 19, 2016
TD Ameritrade Says Hybrid Is Right Tech Model as Profits Improve 8%CEO Fred Tomczyk also says that the new DOL fiduciary rule will entail slightly higher costs and plenty of review.
April 15, 2016
Schwab Profits Up 36% in Q1 as Assets Flow Into ETF, Robo PlatformsThe firm says its ETF OneSource and Intelligent Portfolios have seen significant increases in recent months; RIA assets at $1.18 trillion.
April 15, 2016
Texas Tech Offers Summer Financial Planning Course for High School StudentsTexas Tech University and the Charles Schwab Foundation are teaming up to pique students' interest in the advisory profession before they get to college.