The Practice: Fees and compensation
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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 18, 2018UBS’s Naratil: SEC’s Advisor Conduct Rule Will Have Real PowerCompany’s co-president of wealth management also says Broker Protocol exits aren’t that big of a deal.No Comments
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April 18, 2018Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000Separately, a veteran advisor in Williamsville, N.Y., admits stealing $1.4 million from his clients.Last Comment: April 18, 2018
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April 18, 2018HighTower Acquires $4.5B Wealth UnitDeal is HighTower’s largest single-office-location acquisition.No Comments
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April 17, 2018Regulator Scrutiny of Reverse-Churning to ContinueRecent lawsuits and statements from regulators suggest advisors will be penalized for reverse-churning.No Comments
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April 17, 2018Veteran UBS Reps with $2B in Assets Go IndieThe move could trigger a lawsuit from the wirehouse, which has withdrawn from the Broker Protocol.No Comments
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April 17, 2018Merrill Lynch Loses 124 FAs in 1Q But Confident About Future GrowthWirehouse claims “competitive” advisor attrition is at record lows.No Comments
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April 16, 2018Top Advisors Divulge Keys to Winning Trillions in Millennial BusinessAdvisors want to win Gen Y clients but many FAs lack the required knowledge, tools and approaches.Last Comment: April 16, 2018
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April 16, 2018Wells Fargo Loses 258 FAs Year-Over-YearCompany continues shedding advisors as wealth unit attracts regulators’ scrutiny.No Comments
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April 13, 2018LPL Loses Another Billion-Plus GroupIngham Retirement oversees $1.8 billion primarily in employer-sponsored plans.No Comments
