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.
Raymond James Grabs 3 Reps From Rivals
By Janet LevauxThe new advisors join different channels with a total of $1 billion in assets and more than $2 million in yearly fees and commissions.
November 05, 2013
LPL Scores $1.2 Billion Hybrid RIAThe Householder Group, which has about 40 offices and 50 advisors, becomes the latest affiliate of the IBD.
November 04, 2013
UBS Grabs 11 Merrill Reps With $5 Billion in AssetsMeanwhile, Wells Fargo recruits a UBS team with nearly $130 million in client assets.
November 04, 2013
Dynasty Adds $1 Billion Texas-Based Wealth Team From Credit SuisseDynasty continues to build well, a dynasty, at least in the independent advisory space.
October 30, 2013
Ameriprise Doubles Profits on Higher Sales, Assets in Q3The wealth management unit also brought back actor Tommy Lee Jones for its advertising.
October 28, 2013
SEC Slaps 3 Advisors for Custody ViolationsThe SEC on Monday sanctioned three SEC-registered advisory firms for violating the custody rule.
October 24, 2013
Growth by Design 2012: Why Unrestrained Growth Is No Good—And How to Avoid itFollowing FA Insights 2010 Growth by Design study, the firm revisited the challenges a firm faces to achieve growth and the new challenges that arise as it does so.
October 21, 2013
Why an IPS Is So Important for Advisors Right NowAn investment policy statement is among the most important aspects of a fiduciary relationship, says CEO Blaine Aikin.