Topic: The Practice
Technology
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October 19, 2018Sell your RIA Now? Fidelity Execs Insist There's No Better TimeAcquirers are actively looking and offering good deals, while the bull market isn’t likely to continue as strongly, they say.No Comments
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October 19, 2018The Critical Issue Morgan Stanley and RBC Apparently Flubbed for YearsBut they’ve massively ramped up spending to fix it.No Comments
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October 18, 2018Fintech Firm Unveils Tool for FAs to “Combat Robo Advisor Threat”It’s a compliance-ready auto-synching communications tool.No Comments
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October 18, 2018How HSBC Thinks Rolling Out a Robo-Advisor Will Bolster its Wealth Management FootprintThe bank is partnering with fintech firm Marstone for the digital advice platform.No Comments
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October 15, 2018Advisor Moves: Wells Fargo, LPL, EP Wealth, and MoreThe latest advisor moves and acquisitions.No Comments
Fees and compensation
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October 19, 2018Jury Convicts Financial Advisor on Massive $20 Million Ponzi Scheme ChargesShe was convicted on all 17 charges and faces decades in prison.No Comments
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October 19, 2018Sell your RIA Now? Fidelity Execs Insist There's No Better TimeAcquirers are actively looking and offering good deals, while the bull market isn’t likely to continue as strongly, they say.No Comments
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October 19, 2018SEC Charges Investment Advisor with FraudThe advisor allegedly stole from close friends and community members.No Comments
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October 19, 2018Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big CatchThe wirehouse has made a big play to keep business on the books, but full payouts could take a decade.No Comments
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October 19, 2018DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next SeptemberThe agency plans to revise the final regulation in light of the Fifth Circuit’s decision to vacate the rule this spring.Last Comment: October 19, 2018
1 Comment
Staffing and recruiting
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October 19, 2018Jury Convicts Financial Advisor on Massive $20 Million Ponzi Scheme ChargesShe was convicted on all 17 charges and faces decades in prison.No Comments
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October 19, 2018Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big CatchThe wirehouse has made a big play to keep business on the books, but full payouts could take a decade.No Comments
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October 18, 2018Wells Fargo Could Face Class Action Suit Over Deferred CompensationThe advisor, who started his own independent wealth practice, claims Wells Fargo owes him $200,000.Last Comment: October 19, 2018
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October 18, 2018Wells Fargo Loses Yet Another Team to This RivalThe advisors oversaw close to $240 million at Wells Fargo.No Comments
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October 17, 2018Brand New RIA Explains Billion-Dollar GrowthThey say they're creating better alignment among the client, the advisor, and the firm.No Comments
Regulatory/legal issues
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October 19, 2018Jury Convicts Financial Advisor on Massive $20 Million Ponzi Scheme ChargesShe was convicted on all 17 charges and faces decades in prison.No Comments
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October 19, 2018SEC Charges Investment Advisor with FraudThe advisor allegedly stole from close friends and community members.No Comments
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October 19, 2018DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next SeptemberThe agency plans to revise the final regulation in light of the Fifth Circuit’s decision to vacate the rule this spring.Last Comment: October 19, 2018
1 Comment -
October 18, 2018Wells Fargo Could Face Class Action Suit Over Deferred CompensationThe advisor, who started his own independent wealth practice, claims Wells Fargo owes him $200,000.Last Comment: October 19, 2018
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October 18, 2018Wells Fargo Loses Yet Another Team to This RivalThe advisors oversaw close to $240 million at Wells Fargo.No Comments
Succession planning
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October 19, 2018Sell your RIA Now? Fidelity Execs Insist There's No Better TimeAcquirers are actively looking and offering good deals, while the bull market isn’t likely to continue as strongly, they say.No Comments
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October 19, 2018Morgan Stanley's Lucrative New Retirement Packages Might Come with a Big CatchThe wirehouse has made a big play to keep business on the books, but full payouts could take a decade.No Comments
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October 17, 2018Ladenburg Thalmann Launches New Initiative to Prepare Female FAsThe financial services firm has launched a program that connects female business students with financial advisors.No Comments
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October 9, 2018Broker-Dealers Must Measure and Reward Diversity GoalsThese CEOs say they set the tone from the top.Last Comment: October 9, 2018
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October 4, 2018Is Morgan Stanley Really Serious about Advancing Women FAs?Morgan Stanley has highlighted its female managing directors but wirehouses have a habit of paying lip service to equality, says key lawyer.No Comments
Marketing
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October 19, 2018Sell your RIA Now? Fidelity Execs Insist There's No Better TimeAcquirers are actively looking and offering good deals, while the bull market isn’t likely to continue as strongly, they say.No Comments
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October 18, 2018Why Value-Add Retirement Services Trump Pressure to Slash FeesThe race to the bottom has already occurred, unless the advisor has been completely asleep at the wheel, says one FA.No Comments
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October 18, 2018How Carson Group Landed $1.2 billion in Committed Assets Last QuarterThe firm has brought on a dozen new firms.No Comments
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October 18, 2018Fintech Firm Unveils Tool for FAs to “Combat Robo Advisor Threat”It’s a compliance-ready auto-synching communications tool.No Comments
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October 17, 2018Brand New RIA Explains Billion-Dollar GrowthThey say they're creating better alignment among the client, the advisor, and the firm.No Comments
