In Election’s Wake: What Now for Advisors?
By John SullivanTDAI offers some insight to changes at SEC, key congressional committees and 401(k)s.
November 05, 2012
Number of RIAs Drops as AUM Spikes: IAA, NRSThe Dodd-Frank Act "has had a profound effect on the composition of the investment advisory profession," says David Tittsworth of IAA.
November 05, 2012
TD Ameritrade Draws 441 Breakaway Brokers in FY2012Issues driving breakaway brokers include an ongoing crisis of confidence with Wall Street, in which clients are voting with their feet.
November 02, 2012
FPA Board of Directors Announces New Members For 2013At the outset of its Chapter Leaders Conference in Denver beginning Friday, the Financial Planning Association elected three new members to its board of directors.
November 02, 2012
Advice Industry Helps With Sandy ReliefFinancial service companies and related organizations are stepping up with pro-bono efforts and charitable initiatives in the wake of Tropical Storm Sandy.
November 01, 2012
Mariner Wealth Advisors Announces Partnership With RiverPointMariner CEO Marty Bicknell, who founded the wealth advisory in 2006, was previously a senior vice president of investments at A.G. Edwards & Sons.
November 01, 2012
It’s Still the Economy, Stupid: TD Ameritrade Poll Ahead of ElectionRetail investors named three issues as weighing heaviest on their confidence in the stock market, according to TD Ameritrade's Investor Sentiment Poll.
October 31, 2012
LPL Tops Estimates, Boosts AssetsThe number of advisors drops from the second quarter, but is up for the year at 13,140.