Raymond James Nabs $2.6M Ex-RBC Team
By Janet LevauxIn addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.
February 03, 2015
SS&C Buys Advent Software for $2.7 BillionGrowth in the RIA space is a key motivator of the deal, says Advent CEO Pete Hess.
February 03, 2015
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA ReportsBoth the SEC and FINRA will "likely bring enforcement actions if firms policies and procedures are found to be deficient, warns Sutherland's Brian Rubin.
February 02, 2015
Should I Hire a New or Experienced Planner?As financial planning firms grow, eventually they need to hire a new planner. The question firm owners face is this: hire someone new to the industry, or hire an advisor who's more experienced?
February 02, 2015
Restoring Trust, One Client at a TimeWhat a person finds humorous can be quite revealing.
February 02, 2015
A Simple Solution: Let's Call an Advisor an AdviserOver the past year or so, many advisor industry observers have become disillusioned about the SEC's chances of complying with its Dodd-Frank mandate to create a fiduciary standard for brokers that's no less stringent than the 1940 Act.
February 02, 2015
What Advisors Can Learn From the Sony HackThe destructive hack has implications for all sorts of businesses, including your clientsand yours.
February 02, 2015
Do You Have a Scalable Business?Getting bigger is a great objective if growth can be translated into results.