Welcome to Financial Advisor IQ

July 11, 2017

Stifel's Hiring Push Aims to Thwart DOL Rule Slowdown
Uncertainty about new regs seen as weighing on BD recruiting in 2017.
Advisor Licensing is Becoming Much Easier
A two-tier exam system goes into effect late 2018.
What Small RIAs Do to Grow Assets
Organic growth, aggressive outreach and targeting niche markets can all help RIAs expand.
Vanderbilt Nabs 10 More ESG Advisors
Team previously managed $250 million while affiliated with Financial West Group.
Is the DOL Backing Down on its Fiduciary Rule?

Last week, in the 5th Circuit Court of Appeals, the DOL filed papers effectively dropping its defense of the fiduciary rule’s class-action lawsuit provision. While the department insists it will defend the rule against an onslaught of legal attacks, is this nonetheless a sign the DOL's support for the rule is diminishing?

ThinkTank: Latest Published Content