2011 Broker-Dealers of the Year: The Runners Up
By John Sullivan, James J. GreenMore than 5,000 valid votes were cast in this year's Broker-Dealer of the Year balloting. Here are the second- and third-place BDs in our annual readers' poll.
August 19, 2011
Schwab’s Clark Apologizes, Explains Plan Sponsor ControversyIn an interview with AdvisorOne on Friday, Bernie Clark Executive, Vice President of Schwab Advisor Services, admitted it was a mistake to send a letter sent from Schwab Retirement Plan Sponsor Services directly to plan sponsors without first informing the company's RIA affiliates. Clark explained the communication was sent to...
August 18, 2011
HighTower Sees ‘Exceptional Addition’ to Firm as Margaret Towle Joins as PartnerMargaret Towle, a Ph.D. with a $ billion clientele, is joining HighTower, the Chicago-based RIA firm led by Elliot Weissbluth, as a partner and managing director from Greycourt.
August 18, 2011
What Advisors Are Telling Panicky Clients About Market Volatility: RoundupThe markets wild ride in the last few weeks has created extra work for advisorswho have spent a lot of time reassuring panicky clients about their investments. Here's a roundup of what advisors and other finance professionals are advising clients to do
August 17, 2011
FPA Names Heart of Financial Planning Award Winners for Good WorksThe Financial Planning Association this month announced its 2011 Heart of Financial Planning Award winners, honoring people who give back to the community through their financial planning work.
August 17, 2011
Average Size of Advisor M&A Deal Jumps in Q2: SchwabNewly released data from Charles Schwab Advisor Services of industry-wide M&A activity among RIAs for the first half of 2011 reveals a significant jump in the average deal size.
August 11, 2011
IRA Owners on Brokerage Chopping BlockIndividual retirement account holders may find themselves brokerless if the DOL adopts its proposed fiduciary duty rules.
August 02, 2011
Investors Cap Founder, Ted Charles, Sells Stake to AdvisorsCharles retires following the sale of his 55% stake to advisors, clients and home-office staff.