New Hire Roundup: IMCA Names Whiting National Sales Director
By Marlene Y. SatterJohn Carter of Nationwide was named IRI board chairman, and Tom Petrone became director of capital markets at Dynasty Financial Partners.
September 18, 2013
Giachetti to Junxure Users: Show, Don’t Tell, SEC Examiners You’re CompliantThe SEC is asking smart questions in exams, the securities lawyer warns, with major changes even since 2011. His advice on how to stay compliant.
September 16, 2013
Next-Gen Advisor Crisis: Numbers to Shrink by 2017, Cerulli SaysSince peaking in 2005, industry headcount has declined by more than 32,000 advisors.
September 13, 2013
Americans Really Don’t Like Wall Street: PollWall Street scores the lowest rating of any person or institution included in an NBC News/Wall Street Journal poll.
September 12, 2013
Atlanta Capital Rolls Up Small Family Office FirmsAtlanta Capital, which just bought neighboring PFM Capital, claims it is ahead of a national family office trend, serving clients with assets under $100 million.
September 12, 2013
Ex-Ameriprise Rep Opens TrestleBridge, Affiliates With LPLMeanwhile, LPL-affiliated Washington Wealth rolls out platform for advisors who want to work remotely.
September 10, 2013
Beacon Pointe Wealth Advisors Rolls Up Another California RIABPWA strategic consultant David DeVoe says the new transaction is a great example of how RIAs are intelligently using M&A."
September 04, 2013
NAPFA Taps Leitz as National Chairwoman for 2-Year TermLinda Leitz, co-owner of the fee-only financial planning firm Its Not Just Money in Colorado Springs, will be NAPFA chairwoman for the 2013-2014 board term.