Should I Stay or Should I Go (Independent)?
By Mike PattonThere are a lot of issues to consider before making the move from a wirehouse or bank to an independent advisor.
August 19, 2014
NFL's 49ers Strike Deal With Robo-Advisor WealthfrontTeam will pick up advisory fees on first $100,000 invested by front-office employees and former players, to whom Wealthfront will provide financial education.
August 14, 2014
SEC Cracking Down on Wrap Fees; Wins Court CaseThe SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
August 07, 2014
Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-AdvisorsSEC Rule 203A-2(e) governs registration requirements for advisors delivering advice by the Internet. Heres how to stay compliant with this foresighted rule.
August 05, 2014
Battered Morgan Stanley Breakaway Advisor Fights BackBreakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and painted his compliance record when he tried to leave.
August 04, 2014
Wealth Firms Adding Indie, Wirehouse RepsA number of successful advisors are switching channels and broker-dealers at a quick pace in midsummer.
August 01, 2014
How Advisors Use Liquid Alts: The Business Continuity IssueAdvisors use liquid alternative investments for several reasons, like to reduce portfolio volatility. One of the overlooked reasons involves the health of their own firms.
August 01, 2014
RIAs’ ETF and Mutual Fund Assets Rose 12% in First HalfLong-term mutual fund and ETF assets under management have hit $1.8 billion, Access Data reported Friday.