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July 5, 2018

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Do RIAs Come Out On Top in Fiduciary Rule/Best Interest Fight?

As the industry dukes it out, here’s what investors see …

Vanguard Eliminates Fees on Online Trading of Rivals’ ETFs

In August, Vanguard will let clients trade online nearly all of the 1,800 non-Vanguard ETFs for free.

Schwab to Pay $2.8M Over Suspicious Trades by Indie Advisors

Company failed to report suspicious activity by 37 independent advisors Schwab had terminated in 2012 and 2013.

Video

Why Your Succession Planning is Important to HNW Clients

They want to know that your practice will always be there.

Video [ 3:43 ]

Transcript

Fidelity Will Charge Consultants for Access to Advisors

New platform will charge consultants 18% of each contract awarded.

Morgan Stanley’s Top Lawyer is Quietly Building a Third U.S. Political Party

Eric Grossman’s Serve America Movement has attracted hundreds of thousands from Wall Street and former Big Tobacco executives.

Merrill Lynch Introduces Mobile Tech in Push for New Business

Wirehouse launches mobile technology to make life easier for clients and advisors alike.

ThinkTank: Latest Published Content

More than two billion reasons to consider investing in the emerging markets consumer
Columbia Threadneedle Investments

Discussing the Challenge of Health Care Costs in Retirement
Nationwide

Month in Cash: No more normal?
Federated Investors

Navigating the Emerging New Market Dynamic
Tematica Research

Canada’s ‘Rudest Awakening’ May Come From Debt‑Saddled Consumers
Pacific Investment Management Company LLC

Topics

All Topics

The Client - Finding and winning new clients Are Advisors Missing Out on Income Growth Around the Country? RBC Nabs $500M Commonwealth Financial Team List: Most Popular Marketing Methods for Broker-Dealers	The Client - Client retention Are Advisors Missing Out on Income Growth Around the Country? Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close
The Client - ERISA plans/institutional management As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts	The Client - Behavioral finance SEC Form for Customer Relationships Confounds Users Wells Fargo, Morgan Stanley and Other UHNW FAs Warn of Dangers in Neglecting Estate Plans

The Assets - Portfolio management SEC Chair More Likely to Move His Agenda with New Commissioner Broker-Dealer Gives 3,700 Advisors Access to Envestnet Arsenal	The Assets - Insurance planning Why Merrill Lynch Still Excludes Commission-Based Annuities from IRA Accounts
The Assets - Estate planning Wells Fargo, Morgan Stanley and Other UHNW FAs Warn of Dangers in Neglecting Estate Plans	The Assets - Tax planning What does Trump's RMD Review Mean for FAs and Their Clients? Trump Directs Treasury and DOL to Review Retirement Savings Rules

The Practice - Technology Cetera Loses $300M Advice Practice to Key Rival Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close	The Practice - Fees and compensation RBC Nabs $500M Commonwealth Financial Team Are Advisors Missing Out on Income Growth Around the Country?
The Practice - Staffing and recruiting Kestra Nabs $118M Colorado Wealth Management Practice Fidelity Loses FA to Cypress Wealth	The Practice - Regulatory/legal issues List: Most Popular Marketing Methods for Broker-Dealers Big RIA Reaches SEC Settlement Over Prohibited Testimonials