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Today's Headlines
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Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs Say
What’s important is that brokers serve the best interest of their clients.
UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End Rival
The two join Rockefeller’s newly opened office in Atlanta.
Why Are Clients Insisting on Working Beyond Retirement?
It's a trend that looks set to continue.
Talking to Clients About Risks from Government Policy and Politics
From tax cuts to interest rate hikes, the policy decisions made in Washington can affect your clients wherever they may be. Financial advisors must know how to walk clients through the changes and set their expectations for how these policies will impact their portfolios.
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Three B-Ds Must Pay Over $6 Million Due to Bad Blue Sheet Data
Citadel, Natixis and MUFG admitted the SEC’s findings that they submitted years-worth of deficient data.
UBS Promotes Insider to Head U.S. Wealth Management Unit
Jason Chandler will succeed Brian Hull Jan. 1.
AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges Revisions
The consumer group says proposed Form CRS remains confusing to investors despite revisions.
LPL Holds on to 51 FAs and $2 Billion in Assets from Departing Firm
But Independent Financial Partners expects to finish the year with 350-plus advisors.
How Referrals Helped One FA Firm Grow to $21.3 Billion in 16 Years
The multi-family office Silvercrest Asset Management Group has made only one acquisition every three years.
