Best & Worst Firms for Advisor Satisfaction: J.D. Power, 2024
By Michael S. FischerIn an unusual finding, average satisfaction of emloyee advisors was higher than that of their independent counterparts.
June 27, 2024
Ameriprise, LPL Battle in Court Over Father-Son Advisor Duo Who Switched FirmsThe advisors took confidential material "in the dark of night" before leaving for LPL, Ameriprise says.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 25, 2024
World's 20 Biggest Asset Managers: 2024Fourteen of them are based in the U.S., according to ADV Ratings.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 21, 2024
What Advisors Can Do for Gen Z Right NowMany started investing before age 20. They don't think they need you yet. But they will.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.
June 21, 2024
More SEC Rules in Peril With Private Fund Rule StrikedownTwo of the SEC's main rulemaking statutes hang in the balance after the recent Fifth Circuit decision.