LPL Adds Data Exec From OppenheimerFunds
By Janet LevauxAshish Braganza is the BD's executive vice president of Data, Analytics and Innovation and reports to Burt White.
July 03, 2019
LPL Grabs $1.1B Raymond James Team: Recruiting RoundupMeanwhile, Carson Partners, part of Ron Carson-led Carson Wealth, has added two firms with a total of nearly $200 million in client assets.
July 03, 2019
SEC's Reg BI Adds Unexpected Fiduciary Hurdle for Retirement AdvisorsSome retirement plan rollover transactions will be affected, so understanding these new rules will be critical.
July 03, 2019
Massachusetts Finalizes Fee Table for RIA FirmsThe fee table will be required for all state-registered RIAs to file beginning January 1, 2020.
July 02, 2019
Sponsors Move to Consolidate Platforms: CerulliMany managed account platform sponsors want to make the process easier for clients, but it comes at a cost.
July 02, 2019
Time Is Ripe to Go Indie, Brokers SayIn a TD Ameritrade survey of aspiring indie RIAs, four in 10 said they planned to make their move this year.
July 02, 2019
Dealmakers for Wealthy Face 'Kodak Moment': UBSFamily offices, hedge funds are doing more deals on their own; regulatory hurdles are making it harder for banks to win deals.
July 01, 2019
DWS Group Launches First S&P 500 ESG ETF for US Investors: Portfolio ProductsAlso, Principal introduces its first interval fund and Eaton Vance announces a strategic initiative within its Parametric subsidiary.