Going Independent: Several Choices, Several Solutions
By Jane Wollman RusoffHere's how to navigate the numerous options available for a dramatic career shift.
September 25, 2015
Morningstar to Tackle Hottest ETF Topics at ConferenceAmong the topics where Morningstar wants to "rethink conventional wisdom" are active share, strategic beta, 401(k) mistakes and hedging currency exposure.
September 24, 2015
LPL-Affiliated RIA Merges With Bank-Focused Wealth GroupThe deal gives some 500 IFP advisors acccess to a large number of bank clients and accounts, the two firms say.
September 23, 2015
UBS Nabs $1.3B Merrill Team; Wells Fargo Grabs $1B Morgan Stanley RepsMeanwhile, Raymond James recruits groups with more than $800 million in client assets to its employee channel.
September 21, 2015
Advisors Lure Million-Dollar Clients on Social MediaSome 17% of respondents to an American Century survey said they acquired business of at least $1 million in part because of social media.
September 21, 2015
SEC Fines First Eagle, Affiliate $40 Million for Improperly Charging ShareholdersThe firms used shareholder money instead of 12b-1 fees to pay for fund distribution, the SEC said. Similar enforcement actions could be in the offing.
September 21, 2015
Lebenthal Adds Co-CEO as Chief Takes Reins of Wealth UnitEx-Ally Bank CEO Barbara Yastine will join Alexandra Lebenthal in the top role as Frank Campanale steps down as wealth chief.
September 18, 2015
Schwab Finds Women Hold Almost Half of RIA Jobs but Have Little EquitySchwab finds that about 46% of the RIA work force is female, but less than 20% of employee equity ownership goes to women.