Topic: The Practice
Technology
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February 15, 2019LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did itCommunity First Investment Group joins from LaSalle Investment Management.No Comments
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February 15, 2019Commonwealth Offers MassMutual Access to Its Wealth Management Tech PlatformThe Advisor360° platform lets advisors have a single program for tracking portfolios, trading, client contact tracking and more.No Comments
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February 14, 2019Wells Fargo Advisors Has Tough Time Signing New Clients, Exec ClaimsAnd that’s despite $10 billion in annual referrals from the bank.No Comments
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February 13, 2019Morgan Stanley May Be Looking at More TakeoversCEO James Gorman is reportedly turning to acquisitions after a decade of performance-improving measures.No Comments
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February 12, 2019Wells Fargo's Online Outages and New Fee Give Some PauseOutages impacted online account access through the internet and app.Last Comment: February 12, 2019
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Fees and compensation
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February 15, 2019LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did itCommunity First Investment Group joins from LaSalle Investment Management.No Comments
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February 15, 2019Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales ViolationsThe company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.No Comments
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February 15, 2019Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says AdvocateSuccessful industry lobbying has lead to patchwork of state laws, she says.No Comments
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February 15, 2019Hightower Adds $2.6 Billion RIAThe addition brings HighTower’s AUM to $68.6 billion.No Comments
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February 15, 2019UBS Loses $730 Million Team to This RivalThe team join a new private client group office in Cincinnati.No Comments
Staffing and recruiting
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February 15, 2019LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did itCommunity First Investment Group joins from LaSalle Investment Management.No Comments
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February 15, 2019Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales ViolationsThe company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.No Comments
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February 15, 2019Amid Falling Markets, B-Ds and Retail Brokerages Post Strong RevenueCharles Schwab, TD Ameritrade and E*Trade all benefited from higher trading activity, according to Moody's Investors Service.No Comments
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February 15, 2019Hightower Adds $2.6 Billion RIAThe addition brings HighTower’s AUM to $68.6 billion.No Comments
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February 15, 2019UBS Loses $730 Million Team to This RivalThe team join a new private client group office in Cincinnati.No Comments
Regulatory/legal issues
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February 15, 2019Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales ViolationsThe company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.No Comments
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February 15, 2019Amid Falling Markets, B-Ds and Retail Brokerages Post Strong RevenueCharles Schwab, TD Ameritrade and E*Trade all benefited from higher trading activity, according to Moody's Investors Service.No Comments
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February 15, 2019Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says AdvocateSuccessful industry lobbying has lead to patchwork of state laws, she says.No Comments
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February 14, 2019Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure FailureThe rep also allegedly failed to disclose a co-power-of-attorney appointment with the same client.No Comments
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February 14, 2019These are the Critical Issues Keeping Top Broker-Dealers Up at NightChallenges include responses to fee pressures, attracting new clients and delivering investment returns.No Comments
Succession planning
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January 31, 2019JPMorgan’s Wealth Management Chief RetiresDavid Frame takes over Barry Sommers’ chief executive duties at the firm’s U.S. wealth management unit.No Comments
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January 30, 2019This Broker-Dealer Uses a Homegrown Approach to Advisor TalentCannataro Park Avenue focuses on human capital.No Comments
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January 28, 2019Startup Promises Amazon Prime-like Services for FAsChalice Financial Network is a software-as-a-service-based member benefit organization offering subscription-based access to a slew of wealth management-related services.No Comments
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January 22, 2019Beware: Sunset Agreements Can Have Hidden Pitfalls For Next Gen AdvisorsRecruiters encourage younger advisors to really read the fine print.Last Comment: January 22, 2019
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January 17, 2019Prime Capital Investment Advisors Acquires RIALonger Investments manages $151 million for 108 accounts.No Comments
Marketing
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February 15, 2019Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales ViolationsThe company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.No Comments
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February 15, 2019Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says AdvocateSuccessful industry lobbying has lead to patchwork of state laws, she says.No Comments
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February 14, 2019Wells Fargo Advisors Has Tough Time Signing New Clients, Exec ClaimsAnd that’s despite $10 billion in annual referrals from the bank.No Comments
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February 14, 2019These are the Critical Issues Keeping Top Broker-Dealers Up at NightChallenges include responses to fee pressures, attracting new clients and delivering investment returns.No Comments
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February 14, 2019LPL’s M&A War Chest Is Over $1 Billion, CFO SaysThe firm’s purchasing power has been augmented by a cash surplus, leverage flexibility and earnings from acquisitions.No Comments
