SEC Officials Butt Heads Over Third-Party Advisor Audits
By Melanie WaddellAt IAA conference, two competing approaches to increasing advisor exam frequency: shifting BD examiners to RIAs or third-party audits.
March 09, 2016
Betterment Launches Aggregation ToolClients will be able to get a complete picture of their finances, including their investment assets, bank balances and outstanding debt.
March 08, 2016
Extraordinary Study Reveals Widespread Broker MisconductBut the academics also create some confusion in using the nomenclature "financial advisers" when they mean "brokers."
March 02, 2016
Recruiting Roundup: Raymond James Adds Merrill, Stifel TeamsThe IBD picks up groups across the U.S. with more than $2.3 billion in total client assets.
March 02, 2016
2 LPL-Affiliated RIAs Strike Big-Dollar DealsOne firm making an acquisition, Wealth Enhancement Group, is majority owned by Lightyear Capital. The acquired groups have a combined $1.5 billion in client assets.
March 01, 2016
Recruiting Season Is in Full SwingThere are plenty of important tax issues for us to be thinking about, but I'd rather talk about another major part of the season for us: recruiting!
March 01, 2016
Fiduciary Debate 2016: A Watershed YearA January paper released by the Institute for the Fiduciary Standard detailed regulatory and fiduciary issues on the table in 2016, among them, the SEC's fiduciary standard for brokers.
March 01, 2016
Your Clients’ ExpectationsMany advisors believe that those darn robo-advisors or digital advice platforms do not represent a serious threat to their livelihoods.