Repeat After Me: 12b-1s, Succession Planning, Third-Party Audits
By Melanie WaddellThe SEC's annual investment advisor compliance outreach summit was chock-full of vital information about what the regulator will focus on this year.
April 20, 2016
RIAs With Younger Advisors Grow Faster: TD AmeritradeFirms that employed younger advisors saw more asset growth from 2012 to 2014 than those that did not, TD Ameritrade found.
April 20, 2016
United Capital Opens Its Tech Tool Chest to Indie AdvisorsUnited Capital has launched FinLife Partners, a turnkey advice and planning platform that allows advisors to white-label the firm's proprietary tools.
April 19, 2016
The Top 10 ‘Boomtowns’ in AmericaRealtor.com chose these neighborhoods based on their growth in households, jobs and housing starts.
April 19, 2016
SEC to Launch 12b-1 Fee Share Class InitiativeThe agency is also knee-deep in assessing the scope of potential third-party advisor audits, SEC officials said.
April 19, 2016
Wirehouses, Banks Control 75% of HNW Assets: CerulliHowever, Cerulli expects the growth of multifamily offices and RIAs to outpace the wirehouses and particularly banks over the next five years.
April 19, 2016
TD Ameritrade Says Hybrid Is Right Tech Model as Profits Improve 8%CEO Fred Tomczyk also says that the new DOL fiduciary rule will entail slightly higher costs and plenty of review.
April 15, 2016
Schwab Profits Up 36% in Q1 as Assets Flow Into ETF, Robo PlatformsThe firm says its ETF OneSource and Intelligent Portfolios have seen significant increases in recent months; RIA assets at $1.18 trillion.