Should You Pay for Referrals?
By Mark TibergienMany advisors express concern that they are not growing fast enough with the right clients. But paying for referrals comes with a cost.
March 01, 2016
LPL Expects to Launch Robo-Advisor This YearLPL is also casting a wide net to attract advisors, including those who want to simultaneously sell their business.
February 29, 2016
SEC Taking ‘Close Look’ at JOBS-Act-Related Offerings, Particularly CrowdfundingEnforcement unit scrutinizing Reg A+ and 506(c) private offerings; exams targeting retirement planning and ETFs.
February 29, 2016
Wall St. Meets Hollywood: 9 Biggest Grossing Business MoviesFinancial wheeling and dealing, most recently in the Oscar winner The Big Short, makes for memorable movies and pretty good box office.
February 26, 2016
RIA M&A Activity Hits All-Time HighThe stock market roller coaster of 2015 didnt appear to dampen the volume of RIA mergers and acquisitions, Dave DeVoe finds.
February 25, 2016
No, DOL Fiduciary Rule Not Driving Advisors Away From Firms: Brian HamburgerThe market for breakaway advisors has never been more ripe, but thats not due to the DOL fiduciary proposal, says MarketCounsel's Brian Hamburger.
February 25, 2016
DOL Fiduciary Rule Will Force Brokers Out, Ex-SEC IM Director SaysImposing a DOL ERISA fiduciary duty on brokers will drive advice out of that space, former SEC investment management chief Norm Champ said.
February 22, 2016
DOL Fiduciary Rule Will Accelerate Broker-Dealer ClosingsThrow in continued stock market weakness and many BDs, especially smaller ones, will be forced to close their doors.