Groups File Petition to End SEC Crackdown on 12b-1 Fees
By Melanie Waddell"It is time for the SEC to stop its troubling, ongoing trend of backdoor regulation," said FSI's Dale Brown.
April 28, 2020
Schwab Moves Impact Conference Online, Shares Merger UpdateThe firm says its RIA conference in November will not be held in person.
April 28, 2020
FTV Capital Buys Majority Stake in DocupaceAs part of the deal, David Knoch, former head of 1st Global, becomes CEO of the cloud-focused wealthtech firm.
April 28, 2020
The IA25: VIPs for Very Uncertain TimesHere are the top industry leaders of 2020, as decided by readers of Investment Advisor.
April 28, 2020
The 2020 IA25 Winners: Voices in a Crisis"Clients will remember how you responded during this critical time. You need to let them know you are there for them," said Ed Slott.
April 27, 2020
Financial Advisors Speed Up Shift to Holistic Financial PlanningA Broadridge survey finds advisors receptive to support from asset managers and technology.
April 27, 2020
Breaking Away in a Pandemic: How 2 Advisors Launched Their Own RIA FirmsElk River Wealth Management and Quantum Private Wealth overcame challenges to open their doors in recent weeks.
April 27, 2020
Summit Taps Ex-Dynasty Exec for Business Development RoleEd Friedman, a longtime Morgan Stanley employee, is set to lead the RIA's growth efforts.