This Guy Made Advisors Lose $20 Million Accounts
By Gil WeinreichMany RIA firms dread SEC audits, particularly unscheduled ones, but theres a new auditor in town who may be looking over your shoulder.
July 16, 2014
Schwab Profit Up 27%: Q2 EarningsSchwab reports more than $1 trillion in client assets managed by indie advisors.
July 15, 2014
20 Best Ways to Fix Dodd-Frank ActFormer Sen. Chris Dodd says his namesake financial reform law is "working pretty well." But the Bipartisan Policy Center sees room for improvement.
July 10, 2014
RIA Profits, Growth Hit 8-Year High: SchwabSchwab's annual RIA benchmarking study teases out the secrets to the success of the best-managed firms.
July 09, 2014
Wells Fargo Grabs 8 Advisors With $1 Billion in AssetsMeanwhile, RIAs affiliated with Focus Financial and LPL add reps.
July 09, 2014
DOL Fiduciary Redraft Opposed by 90% of FSI Advisors: FSI PollAdvisors say the DOL should not redefine fiduciary under ERISA, according to an FSI poll. Most advisors also think the GOP will win the Senate.
July 08, 2014
Fund Firms Lag in Social Security Support to AdvisorsOnly BlackRock is recognized as a Social Security resource by a majority of advisors; the Social Security Administration is the top source of information overall.
July 02, 2014
Honoring Advisors Who Serve(d): July 4th, 2014On Fourth of July, ThinkAdvisor continues our tradition of honoring advisors and their partners who served in the U.S. armed forces and sharing their stories.