July 21, 2017

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The broker exodus seems to be speeding up.

What to Do When Finra Comes Knocking

Firm examinations don’t have to be harrowing. Here’s what to do.

RBC Wealth Management, meanwhile, picks off a Wells Fargo exec.

Less affluent investors use age as the retirement trigger.

Some career lessons – while embarrassing in the moment – ultimately make you a better planner.

ThinkTank: Equities

Ignore the Cassandra Chorus, Rates Won’t Skyrocket
Guggenheim Partners

The Great Global Policy Rotation
Alger

Life Science Tools: Secular Growth Drivers in a Pressured Health Care Market
Diamond Hill Capital Management

Topics

All Topics

The Client - Finding and winning new clients RIA Average Client Size Jumps $200K How Millennial Advisors Win Business From Their Peers	The Client - Client retention The Key to Helping Wealthy Clients Prep for Retirement How I Overcame a Big Financial Planning Pitfall
The Client - ERISA plans/institutional management DOL Rule Assault Comes From All Quarters Bill to Kill DOL Rule Moves to House Floor	The Client - Behavioral finance It’s Incredible How Biased Advisors Can Be

The Assets - Portfolio management It’s Incredible How Biased Advisors Can Be Madoff Scandal Lost Industry $363 Billion As Wells Fargo Sheds 130 Advisors, One FA Breaks Away to Avoid Wirehouse Homogenization	The Assets - Insurance planning Tax Avoidance Insurance Funds Gain Popularity Specialty Firm Plans Expansion with Dynasty’s Help
The Assets - Estate planning Business Owners Need More Estate Planning Death and Taxes in an Uncertain Policy Landscape	The Assets - Tax planning Two Tax Cuts Dropped from GOP Healthcare Overhaul Tax Avoidance Insurance Funds Gain Popularity

The Practice - Technology Edward Jones Fined For Inadequate Record Handling As Wells Fargo Sheds 130 Advisors, One FA Breaks Away to Avoid Wirehouse Homogenization On Cybersecurity Woes, FAs Can Speak from Experience	The Practice - Fees and compensation Merrill Lynch, Morgan Stanley Strong on Fee Revenue Why The Transactional Brokerage Model Might be Dead RIA Average Client Size Jumps $200K
The Practice - Staffing and recruiting What to Do When Finra Comes Knocking Wells Fargo Loses FAs to Raymond James and LPL Merrill Lynch Loses Veteran FAs to UBS	The Practice - Regulatory/legal issues Bill to Kill DOL Rule Moves to House Floor Wells Fargo Settles $3.5M Advisor Training Class-Action DOL Rule Assault Comes From All Quarters

1	Bill to Kill DOL Rule Moves to House Floor
2	As Wells Fargo Sheds 130 Advisors, One FA Breaks Away to Avoid Wirehouse Homogenization
3	DOL Rule Assault Comes From All Quarters
4	Edward Jones Fined For Inadequate Record Handling
5	Merrill Lynch Loses Veteran FAs to UBS

1	Edward Jones Fined For Inadequate Record Handling
2	As Wells Fargo Sheds 130 Advisors, One FA Breaks Away to Avoid Wirehouse Homogenization
3	How to Use Robo-Analysis to Boost Your Value
4	It’s Incredible How Biased Advisors Can Be
5	RIA Average Client Size Jumps $200K

1	Bill to Kill DOL Rule Moves to House Floor
2	Edward Jones Fined For Inadequate Record Handling
3	Madoff Scandal Lost Industry $363 Billion
4	DOL Rule Assault Comes From All Quarters
5	FAs Warned: Pay Closer Attention to Fund Fees