$1.75B Advisor Team Ditches Merrill for Dynasty
By Jeff Berman"We now have the ability to be solutions based, not product driven," the new firm's CEO said.
September 23, 2021
Interviewing New Talent? Questions You Can and Can't AskHere are ways to turn potentially litigious questions into insightful, legal alternatives.
September 22, 2021
What to Do if Congress Locks the Back Door on Roth IRAsAdvisors will have to act quickly if new tax rules eliminating backdoor and mega backdoor Roth IRA strategies are enacted.
September 22, 2021
Client Demand for Sustainable Investing GrowsDespite client interest, only 34% of RIAs surveyed had implemented sustainable investing strategies for their clients., SEI found.
September 21, 2021
How Proprietary Advisory Platforms Conflict With Fiduciary StandardsTo keep assets flowing to their best profit centers, some BDs are keeping their advisors in the dark on better offerings.
September 20, 2021
Kitces' XY Planning Urges SEC to Block Brokers From Offering Financial PlansSuch services are beyond the scope of "solely incidental" advice, says XYPN, which also wants the SEC to tighten rules around advisor titles.
September 16, 2021
Fidelity Pushed for Bitcoin ETF Approval in Private SEC MeetingExecutives including Tom Jessop, president of Fidelity Digital Assets, met with SEC officials in a Sept. 8 video call, filings show.
September 16, 2021
RIA in a Box Launches Virtual Desktop, Compliance Dashboard for RIAs: Tech RoundupAlso, Wells Fargo turns to Google and Microsoft for its new digital infrastructure strategy.