UBS Adds Morgan Stanley Advisor, but Loses Team to Boutique Firm
By Janet LevauxA group of Wells Fargo reps with about $220 million in assets departs to go independent with an LPL affiliate.
July 30, 2013
BrightScope Defends a Business Model Modeled After MorningstarBrightScope's methods irritate some, but others see a chance to clean up some of the industry's problems.
July 29, 2013
Michael Kitces Launches Recruiting Screening Tool for Financial PlannersNew Planner Recruiting announced it has launched a standalone service to offer screening of financial planning candidates for advisory practices.
July 26, 2013
CFP Board Announces Rich Rojeck as 2014 Chair-ElectRojeck, a managing director with Sagemark Consulting/Lincoln Financial Advisors, says the investing public will "ultimately best be served by an established financial planning profession."
July 25, 2013
Senate Panel Okays 33% SEC Budget Hike, Setting Up House TussleThe Senate Appropriations Committee approves 33% SEC budget increase, or $353 million, setting up a battle with the House, which only seeks a $50 million increase. At stake could be more RIA examiners.
July 25, 2013
Caton Financial Is First Public ‘Partner’ on Ron Carson’s CIA PlatformAfter eight years of trying and four detours, advisor Nancy Caton finds her succession planning solution in Ron Carsons new platform.
July 25, 2013
What Do Ballistic Missiles, Barbara Bush and Alternative Investments Have in Common?It might sound like a joke, yet it is anything but, says Collins Capital's Dorothy Weaver.
July 24, 2013
Debunk Redux: Fiduciary Was Good for Brokers the First Time, TooWhat happened to brokerage accounts following the FPAs victory against the SEC in 2007 over the 'Merrill Rule' reveals as much about the brokerage industry as it does about the effects of a fiduciary standard.