Topic: The Practice
Technology
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April 25, 2018Wealth Management is Heading Where it Should've Been All AlongClient goals need to be front and center of any practice.
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April 25, 2018Blockchain: Get Ready for Radical DisruptionFor FAs, the effects of frictionless data exchange will be no less profound for being indirect.No Comments
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April 17, 2018How Hires From Morgan Stanley Beef Up Advizr’s IBD and Fortune 500 OfferingsCEO says recent hires position Advizr to offer entire financial planning platforms to advisors.No Comments
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April 13, 2018Tamp Acquisition Arms Orion to Take on EnvestnetWith FTJ as a stablemate, portfolio accounting firm looks set to compete head-on in enterprise business space.No Comments
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April 12, 2018Why the Top RIAs Don't Feel Client Pressure to Lower Their FeesAdvisors rely on holistic wealth management to maintain fees.No Comments
Fees and compensation
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April 25, 2018Blockchain: Get Ready for Radical DisruptionFor FAs, the effects of frictionless data exchange will be no less profound for being indirect.No Comments
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April 25, 2018UBS Sees Advisor Productivity SoarThe company’s average advisor had $1.33 million in annual revenue.No Comments
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April 24, 2018Merrill Lynch Loses $4.5 Billion Team to First RepublicAnd another Merrill team managing $380 million heads to D.A. Davidson & Co.Last Comment: April 24, 2018
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April 23, 2018SEC Commish Blows Apart “Disappointing” Best Interest RuleCommissioner Stein says proposal misplaces onus on the retail investor to understand BD’s best interest obligations.Last Comment: April 23, 2018
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April 23, 2018Advice Industry Casts Big Doubts Over SEC’s Best Interest StandardMany critics say the securities watchdog didn’t go far enough and some believe its attempts at more clarity have been futile.No Comments
Staffing and recruiting
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April 25, 2018Blockchain: Get Ready for Radical DisruptionFor FAs, the effects of frictionless data exchange will be no less profound for being indirect.No Comments
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April 25, 2018UBS Sees Advisor Productivity SoarThe company’s average advisor had $1.33 million in annual revenue.No Comments
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April 25, 2018FA Guilty of Filching $5.2M Gets 12 Years in JailDaniel Glick must also pay $5.2 million in restitution.No Comments
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April 25, 2018Merrill Lynch Faces Gender Discrimination SuitSeparately, firm fires top broker whose team included a relative of Merrill Lynch wealth chief Andy Sieg.Last Comment: April 25, 2018
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April 24, 2018Butowsky Sues Schwab for $100M Claiming Political BiasTexas-based FA says he was removed from Schwab’s custodial platform because of his connection to Donald Trump.Last Comment: April 24, 2018
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Regulatory/legal issues
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April 25, 2018Blockchain: Get Ready for Radical DisruptionFor FAs, the effects of frictionless data exchange will be no less profound for being indirect.No Comments
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April 25, 2018Finra Probe Reveals Need to Prioritize ExamsOther upcoming Finra 360 priorities include changes that will impact day-to-day interactions with member firms and the investing public.No Comments
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April 25, 2018UBS Sees Advisor Productivity SoarThe company’s average advisor had $1.33 million in annual revenue.No Comments
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April 25, 2018FA Guilty of Filching $5.2M Gets 12 Years in JailDaniel Glick must also pay $5.2 million in restitution.No Comments
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April 25, 2018Merrill Lynch Faces Gender Discrimination SuitSeparately, firm fires top broker whose team included a relative of Merrill Lynch wealth chief Andy Sieg.Last Comment: April 25, 2018
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Succession planning
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April 23, 2018Breakaway Activity "Rampant" in First QuarterEchelon Partners attributes the higher-than-average number of breakaways in the first quarter to recent exits from the Broker Protocol.No Comments
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April 23, 2018Doug Ketterer’s Outfit Buys $23B Indie Broker-DealerCadaret, Grant & Co. services more than 900 financial advisors across 475 offices around the country.No Comments
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April 20, 2018Ron Carson Names 32-Year-Old His SuccessorDubbed “Baby Einstein” at Carson Group, successor has been with the firm five years.No Comments
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April 19, 2018Four Steps to Ensure a Smooth Acquisition for Your FirmBrian Parker, EP Wealth AdvisorsThinking of selling out? Here are a few things to consider.No Comments
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April 11, 2018Dynasty Boss Slams Wirehouses for Leading by FearSays broker protocol exits help advisors realize the importance of freedom.Last Comment: April 11, 2018
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Marketing
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April 24, 2018Vote: Would You Be Willing to Part with Your Advisor/Adviser Title?
The proposed SEC Regulation Best Interest package would prohibit broker-dealers and their associated persons from referring to themselves as either “advisor” or “adviser” unless they are specifically also registered as investment advisors with the SEC. Are you willing to part with your advisor/adviser title?
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April 24, 2018Butowsky Sues Schwab for $100M Claiming Political BiasTexas-based FA says he was removed from Schwab’s custodial platform because of his connection to Donald Trump.Last Comment: April 24, 2018
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April 24, 2018Regulators Worry FAs Will Try to Bypass Finra to Expunge RecordsSEC and NASAA say Finra’s current proposal to tighten arbitration process related to expungements may backfire.No Comments
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April 23, 2018Advice Industry Casts Big Doubts Over SEC’s Best Interest StandardMany critics say the securities watchdog didn’t go far enough and some believe its attempts at more clarity have been futile.No Comments
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April 20, 2018Raymond James Nabs Four Wells Fargo FAsThe teams collectively oversaw more than $780 million at the wirehouse.No Comments
