Welcome to Financial Advisor IQ

August 11, 2017

FAs and Investors at Odds in DOL Rule Comments
Industry stakeholders want delay or repeal while investors beg for protection.
SEC Targets AUM-Faking, Athlete-Swindling Advisors
One advisor allegedly claimed $580 million AUM without having any clients.
Ex-Merrill Lynch Advisors Launch Indie on Dynasty
Veteran advisors had managed $250 million at Merrill Lynch
Ameriprise Nabs $360M Duo from Edward Jones
One of the advisors had been with the firm for his entire 34-year career.
Show Empathy to Your Staff, Not Just Your Clients
Managing your business begins with respecting your team.