Welcome to Financial Advisor IQ
Follow

July 6, 2018

Morgan Stanley Court Ruling Complicates Switching Firms
A Georgia state court has ruled the Broker Protocol doesn’t absolve advisors from giving advance notice about leaving.
Why This Successful RIA Favors Single-Strategy Asset Managers
Firm’s head says illiquid investments generate a significant portion of the alpha for its client’s portfolios.
How Fee Pressure on Asset Managers Could Hurt FAs
Driven by fee compression, asset management firms are increasingly encroaching into the domain of wealth managers, says Cerulli Associates.
Reformers Slam Finra’s Bad Broker Reforms
Meanwhile, the self-regulator announces it will take over public records reviews of hired brokers.
Goldman Taps New Head of San Francisco Private Wealth Management
Katie Hyde is replacing Joseph Camarda, who will serve as a private wealth advisor.

Topics