Sontag Joins Board of Focus Financial; Bruton In as Lucia Capital CEO
By Janet LevauxThese growing firms aim to add more advisors and business from the wirehouses, as well as from independent firms.
July 28, 2014
Beyond Termination Fees: How Advisors Charge Clients to Fire ThemWhile advisors occasionally charge termination fees, FireMyAdvisor co-founder Dave Dickinson says thats not the only method advisors use to hold on to unhappy clients.
July 22, 2014
TD Ameritrade Trading Down, Profits Up: Q2 EarningsTD Ameritrade quarterly earnings rose 21% from a year ago while trading "went a little south."
July 17, 2014
This Guy Made Advisors Lose $20 Million AccountsMany 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
Cerulli: RIAs take market share from wirehousesAbout one-third of wirehouse advisors indicate a preference for the independence that RIAs enjoy.
July 16, 2014
Cerulli: RIAs take market share from wirehousesAbout one-third of wirehouse advisors indicate a preference for the independence that RIAs enjoy.
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.