Already a Financial Advisor IQ Reader?
July 11, 2019
JP Morgan Reveals New ETF Gambit to Win Robo Clients
The offering requires just a $2,500 minimum and charges a 0.35% annual fee.
How Your Regulatory Issues Impact Your Competitiveness
Having a well-documented compliance process adds to an advisory firm’s credibility, says one advisor.
Ex-Cadaret Broker Ordered to Pay $1.46 Million to Investor
The investor awarded the money had originally included Cadaret, Grant in her claim but dropped the firm earlier this year.
EP Wealth Buys its Way Into Phoenix With Purchase of Local RIA
The acquisition boosts EP Wealth’s assets under management by $230 million.
Watchdog Urges DOL and IRS to Work Together on Prohibited IRA Transactions
The two agencies don’t have any formal collaboration on IRA investments in nontraditional assets such as real estate or virtual currency, GAO says.
Why Social Media and Tech Are Essential to Attracting Young Advisors
New study also finds Edward Jones ranks highest in satisfaction among employee advisors while Commonwealth ranks highest among independents.
FPA Wants CFP Board to Delay Fiduciary Rule Enforcement Until Summer 2020
The board’s new Code of Ethics and Standards of Conduct goes into effect in October.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|