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November 1, 2018

Clients Who Use Racial Slurs and the Stress that Can Come From Being a Minority FA
Firms need to value employees more than clients who behave badly, advisor says.
Special Report: Here are the Major Risks of Smart Beta Strategies
If smart beta investments are used to drive returns, investment risk may be riding shotgun. Part 4 of a 5-part Special Report on Smart Beta.
Sponsored Webcast
Archive: Preparing for 2019, Outlook and Tax-Smart Investing
Sign up now for today's special video webcast featuring two important discussions about how to prepare your clients’ portfolios for the coming year. The webcast begins at 2:30 p.m. ET. It is not too late to register.
Advisors are Far From Ready for This Big Regulation Change
And the SEC may skimp on adequate testing, according to one industry group.
LPL Nabs $800 Million Practice in Pacific Northwest
But the firm also gets fined $2.75 million over alleged failures in complaint reporting and its anti-money laundering program.
Why Stifel Hasn't Seen Seen Advisor Growth Rates Like This For Over a Decade
The firm only added 31 net advisors, but company’s chief says it’s outpaced quarterly growth from the previous decade, excluding acquisitions.
Opinion
Do Investors Actually Know What the Protocol Means?
Hint: It's likely they don't. But they should.
This New Digital Wealth Management Platform Wants to be Your Copilot
The fintech firm has already signed up Citizens Bank’s wealth management division as its first client on the platform.

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