Raymond James Reports Big Jump in Private-Client Profits: Q1 Earnings
By Janet LevauxOverall, the company's earnings miss estimates, but beat on sales of $1.2 billion
April 17, 2014
SEC Launches Cybersecurity Exams of BDs, AdvisorsThe SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.
April 14, 2014
Indie Channels to Hold 38% of Assets by 2016: CerulliWhile wirehouses are expected to keep their lead in assets, indies and dually registered RIAs will benefit most from advisor movement, Cerulli says.
April 11, 2014
Mega Teams Control 42% of Advisory Market: CerulliMega advisor teams with $500 million or more in AUM are best poised to attract HNW clients, Cerulli says.
April 10, 2014
The Best SEC Speech EverAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
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.