Borzi: DOL Should Not Defer to SEC's Reg BI
By Melanie WaddellIf it's adopted without major changes, the "industry continues its conflicted practices," the DOL fiduciary architect tells ThinkAdvisor.
February 22, 2019
Want to Connect Better? Try Dan Arnold's TechniqueFor deeper, longer relationships with clients and colleagues, advisors should take a cue from the head of LPL Financial.
February 22, 2019
Nevada Fiduciary Plan Has DOL Rule SimilaritiesThe state fiduciary plans are worrisome, former Labor official Phyllis Borzi tells ThinkAdvisor.
February 21, 2019
Envestnet to Buy Schwab's PortfolioCenterThe deal comes just a few months after BlackRock bought a nearly 5% stake in Envestnet. But what does it say about Schwab's tech strategy?
February 21, 2019
Cambridge Streamlines Data Input for AdvisorsAdvisors will avoid multiple inputs with new technology that uses bi-directional data synced continuously through the system.
February 21, 2019
Have Fee-Based Models Won the Battle ... or the War?A Cerulli Associates study looked at fee and commission models and asked which pay structure investors preferred.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 20, 2019
HighTower Nabs $2.6B Group in Memphis: Recruiting RoundupMeanwhile, Raymond James' Alex. Brown division has added a veteran advisor from Wells Fargo with $113 million in client assets in Boston.