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July 5, 2018

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Previous Issue

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
PIMCO

Topics

All Topics

The Client - Finding and winning new clients UBS Sees Super Wealthy U.S. Investors Return Where Indie Channels Beat Out Wirehouses	The Client - Client retention Morgan Stanley Tech Integration Results in Massive Shift for Client Relationships, Firm Says Mercer Acquires Another Wealth Management Practice
The Client - ERISA plans/institutional management DOL Proposes Auto-Portability for 401(k) Plans Despite Its Death, Here's How the DOL Rule is Still Causing FAs to Change Their Ways	The Client - Behavioral finance Expungement Warning: Lawyers are Selling Advisors False Promises

The Assets - Portfolio management Morgan Stanley Tech Integration Results in Massive Shift for Client Relationships, Firm Says UBS Sees Super Wealthy U.S. Investors Return	The Assets - Insurance planning Deluge of Lawsuits From Brokers Over Commissions Likely to Hit Ohio National How Hybrid RIAs Seem to Have the Advantage Over Indie IRAs
The Assets - Estate planning Estate Plans Don’t Grant Superpowers, But They Do Protect Client Assets FAs Are Making Critical Mistakes in IRAs, Expert Warns	The Assets - Tax planning Estate Plans Don’t Grant Superpowers, But They Do Protect Client Assets “Roth IRA for the Rich” Could Erase Capital Gains Tax Liabilities – and Family Offices Are Loving It

The Practice - Technology Morgan Stanley Tech Integration Results in Massive Shift for Client Relationships, Firm Says How Advisors Can Lure the XY Generation	The Practice - Fees and compensation Morgan Stanley Tech Integration Results in Massive Shift for Client Relationships, Firm Says Goldman Sachs Faces Lawsuit from 15-Year Veteran FA After Alleged Discriminatory Dismissal Wells Fargo Readies for Big Deferred Comp Legal Battle: 1400-Plus FAs Might Join Class Action
The Practice - Staffing and recruiting Wells Fargo Readies for Big Deferred Comp Legal Battle: 1400-Plus FAs Might Join Class Action Goldman Sachs Faces Lawsuit from 15-Year Veteran FA After Alleged Discriminatory Dismissal	The Practice - Regulatory/legal issues State Securities Regulators Want Tougher SEC Standard for Brokers Grassley to Chair Senate Finance Committee

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