Wells Fargo Launches RIA Channel
By Janet LevauxFee-only advisors can now custody assets via WFA subsidiary First Clearing and use TradePMR, an outside firm, as their BD.
January 28, 2019
SEC Back to Work, but Expect Slow Response TimesExams, including those that were in progress when funding lapsed, are resuming.
January 28, 2019
$650M Morgan Stanley Team Leaves to Form RIAThe three advisors, who spent the past nine years at the wirehouse, now trade securities through Purshe Kaplan Sterling Investments.
January 25, 2019
How Will Millennials Invest Their New Wealth?Advisors need to understand the thinking of this generation to help guide them as they inherit a vast amount of wealth.
January 25, 2019
Artivest Offers Expanded Services on Alts PlatformA merger with Altegris helps Artivest spread its wings, offering new alternatives structuring and distribution services.
January 25, 2019
FSI Showcasing Female Leaders at Yearly ConferenceThe three-day event for independent firms and advisors is taking place in New Orleans Jan. 28-30.
January 24, 2019
Nevada's 'Expansive' Fiduciary Plan Shocks BDs, RIAsWhat's the biggest difference between Nevada's plan and Reg BI? Nevada's plan includes a private right of action, says Drinker Biddle's Reish.
January 24, 2019
Envestnet | Yodlee's AI Firm Purchase Is a 'Strategic Move': Tech InsiderThe technology lets financial firms work with clients through Amazon Alexa, Google Assistant, SMS and Facebook Messenger.