What the World Needs Now…Are Client Advocates
By Bob ClarkThe securities industry seems to be moving toward fiduciary client advocate advisors. Unfortunately, it looks like it will take a new professional organization to get there.
December 09, 2014
Morgan Stanley to Award More Bonuses Up FrontMorgans compensation committee agreed to defer future bonus pools at an average rate of 50% instead of 80%.
December 09, 2014
BDs’ Comments Lead FINRA to Update Communication, Gift RulesBDs request further guidance, updates on the two rules; FINRA's retrospective review process is ongoing.
December 08, 2014
Tony Robbins Slams Critics, Says He’s Not a Financial AdvisorSupercoach Tony Robbins, who invites seminar attendees to walk over hot coals, is now raking RIAs over the coals for taking pot shots at him.
December 04, 2014
Washington Wealth Adds $180M RepsThe independent hybrid RIA says it has added 12 advisors in about nine months.
December 02, 2014
GOP Blasts User Fees Plan, Tells SEC to Boost Exams NowReps. Hensarling and Garrett give SEC Chairwoman White a Dec. 5 deadline to detail how agency will reallocate resources.
December 01, 2014
Raymond James Adds Ex-LPL Group in N.J.Boutique wealth groups add teams in Arizona and Iowa.
November 25, 2014
4 Lessons Peyton Manning Can Teach Advisory Firm OwnersOnce a firm owner decides to grow the firm beyond some clerical help, a successful advisory firm is a team game.