Trendspotter: Advisor Movement From State to SEC Registration Is Surging
By Melanie WaddellAs markets and the demand for fiduciary advice have grown, more firms have had to take this step, compliance pros say.
October 25, 2021
Democrats Draw Up Billionaire-Tax Plan as Corporate Hike FadesSenate Finance Committee Chair Ron Wyden plans to unveil a new tax on the unrealized capital gains of the ultra wealthy this week.
October 22, 2021
Kitces: Schwab 'Declaring War on Funds' With Direct Indexing PlatformMichael Kitces' remark touched off a debate among advisors on the pros and cons of direct indexing.
October 21, 2021
Ritholtz, Advisor Circle Execs Plan 'SXSW-Like' Wealth FestivalIt includes no pay-to-play presentations and involves four hotels and outdoor space in Huntington Beach, California.
October 21, 2021
Schwab: What Advisors Can Expect From TD Ameritrade IntegrationTD Ameritrade client accounts and assets won't be moved over to Schwab until the second half of 2023.
October 21, 2021
How Advisors Can Guide a Client's Whole Financial LifeForward-thinking financial advisors are helping clients tie everything together so they can make informed decisions.
October 20, 2021
Raymond James to Buy TriState Capital for $1.1BAs part of the transaction, which the firms expect to close next year, Pittsburgh-based TriState will continue to operate as a separately branded firm.
October 20, 2021
SEC Fines Disciplined Capital Management $25K Over Form CRS FailuresThe firm missed its regulatory deadlines to file the form and deliver it to clients.