Investment Platforms
Get the latest news and insights on investment platforms (including digital, mobile and online platforms), and how these developments impact financial advisors, the wealth management industry and more.
What's Keeping BD Execs Up at Night
By Janet LevauxThe wirehouse firms report more than earnings each quarter.
August 19, 2016
12 Best & Worst Broker-Dealers: Q2 Earnings, 2016Like in Q1, profits for financial firms generally moved in the same direction, with one exception.
August 10, 2016
Recruiting Roundup: Raymond James, Cetera Add GroupsMeanwhile, two RIAs merge to form group with $13 billion in client assets.
August 09, 2016
Stifel’s Profits Crash in Q2 Despite Wealth Growth; Ladenburg Results WeakenStifel Financial is getting rid of the indie reps it bought from Sterne Agee, but holding on to the ex-Barclays reps.
July 29, 2016
How to Comply — and Why — With SEC Rules on Regulatory AUMWhether you call yourself a financial planner or investment manager, pay close attention to the SECs instructions (and enforcement actions) on counting regulatory AUM.
July 28, 2016
LPL Beats Earnings Estimates as Profits Fall 5%Revenue dropped about 7% year over year in the second quarter of 2016.
July 28, 2016
Ameriprise Misses Q2 Estimates, Cites Market TurmoilThe firm cited increased volatility, lower average equity markets and persistently low interest rates for a 19% profit drop.
July 20, 2016
Raymond James Tops Estimates, Reports Strong Revenue: Q2 EarningsPlus, the Private Client Group's fee-based business is growing 11% year over year, according to CEO Paul Reilly.