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.
Is Comprehensive Advice in 401(k) Plans Really So Hard?
By John SullivanOffering individualized advice in a 401(k) planone tough nut to crack.
November 21, 2012
Raymond James Posts Mixed October Results; Keegan Deal Hikes ProductionFees and commissions drop slightly in October from the prior month, but rise year over year thanks to the Morgan Keegan deal and other factors
November 20, 2012
New Hire Roundup: Mullis Joins Securities America; BlackRock’s New StrategistThis week in new hires, Michael Mullis became a registered rep with Securities America; BlackRock named Russ Koesterich its new chief investment strategist; and Michael Davis left EBSA for Prudential.
November 19, 2012
Capital Innovations’ ‘Wonderfully Boring’ StrategyMichael Underhill, who spoke at Schwab Impact in Chicago, tells the stark truth to clients looking for 10% returns, its not the 1990s anymore.
November 15, 2012
When good clients go badWhat do you do when a bad client sues a good advisor? You better hope you covered your bases, and your assets.
November 12, 2012
M&A Deals in Q3 Slowest for 2012: PershingMergers and acquisitions slowed down in the third quarter after increasing since the last quarter of 2011, Pershing Advisor Solutions announced Nov. 9.
November 08, 2012
Research Affiliates, WisdomTree Settle for $700,000The ETF provider WisdomTree will receive the one-time payment, and the parties pledge not to sue each other for the next eight years over indexes and strategies.
November 07, 2012
Barclays Recruits 18 Advisors; Morgan Stanley Adds 1; LPL Group Brings on Wells TeamThe new Barclays advisors come from many wirehouse and other firms with close to $40 million in yearly fees and commissions, as well as about $9.4 billion in assets.