Indie Channels to Hold 38% of Assets by 2016: Cerulli
By Melanie WaddellWhile wirehouses are expected to keep their lead in assets, indies and dually registered RIAs will benefit most from advisor movement, Cerulli says.
April 10, 2014
Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers SayAdvocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
April 09, 2014
Baird to Merge With MWR, Add 85 RepsThe Milwaukee group will also add some $10 billion in assets and seven offices in the Pacific Northwest.
April 07, 2014
‘Brutalized’ Breakaway Brokers Speak Out: 7 Stories From the Road to IndependenceFrom pain and humiliation to a quite positive experience, seven brokers tell ThinkAdvisor their stories of breaking away.
April 02, 2014
Focus Adds Former FiNet Team, Lebenthal Brings on Morgan Stanley GroupMeanwhile, Securities America picks up a Wells Fargo rep, and United Planners says it had a banner year in 2013.
April 01, 2014
SEC: Advisor Use of Social Media Testimonials Sometimes OKIn long-awaited guidance, the SEC clarifies when it is and is not acceptable for an advisor to use clients' testimonials on social media.
March 27, 2014
Top 4 Reasons Clients Leave AdvisorsVanguard-Spectrem study on what the affluent expect from their advisors finds four missteps that would prompt clients to switch advisors.