Advisor News

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HighTower lowers the gate for breakaways
INDEPENDENT BROKER DEALERS OCT 05, 2012
HighTower lowers the gate for breakaways

Aggregator announces two new services that provide more autonomy to indie wannabes; 'brilliant move'

By AOSTERLAND
REGULATION, LEGAL & COMPLIANCE OCT 05, 2012
RIA enforcement cases double: NASAA

By Liz Skinner
REGULATION, LEGAL & COMPLIANCE OCT 05, 2012
Finra's latest role garners scant attention

By DJAMIESON
Finra lobbying expense drop
REGULATION, LEGAL & COMPLIANCE OCT 04, 2012
Finra lobbying expense drop

SRO legislation on top of the list but little action expected until '13

By DJAMIESON
Tuned in to debate, advisers tuned out to political calling
REGULATION, LEGAL & COMPLIANCE OCT 04, 2012
Tuned in to debate, advisers tuned out to political calling

FPA President Paul Auslander vows to lead by example in Florida; few will follow

By Mark Schoeff Jr.
BofA sets sale of Merrill's New Jersey campus
WIREHOUSES OCT 04, 2012
BofA sets sale of Merrill's New Jersey campus

By AOSTERLAND
Tax hit from fiscal cliff a real doozie
RETIREMENT PLANNING OCT 04, 2012
Tax hit from fiscal cliff a real doozie

Think tank projects tax hike of $3,500 per household

By Mary Beth Franklin
Can you dig it? 'I Dig It' trust a key to Mitt Romney's 14% tax rate
RETIREMENT PLANNING OCT 04, 2012
Can you dig it? 'I Dig It' trust a key to Mitt Romney's 14% tax rate

Mitt Romney used a little-discussed estate planning tool to shovel $100M to his heirs tax free — and lower what he paid to the IRS. Here's how it works.

By John Goff
RETIREMENT PLANNING OCT 04, 2012
Will pension plans stage a comeback?

A looming retirement crisis prompts a rethink about DB and DC models

By Mary Beth Franklin
RETIREMENT PLANNING OCT 03, 2012
Advisers can help with Medicare

By MFXFeeder
ALTERNATIVES OCT 03, 2012
Where's the harm in hedge fund advertising?

A look at the ICI's predictable argument

By Jeff Benjamin
ALTERNATIVES OCT 03, 2012
Let hedgies advertise? Fund firms are furious

The SEC's plan to let hedge funds advertise Reg D offerings isn't sitting well with the retail fund industry. Here's why.

By DJAMIESON
Allianz Life to raise roll-up rates on VA rider
RETIREMENT PLANNING OCT 02, 2012
Allianz Life to raise roll-up rates on VA rider

By Darla Mercado
Surprise! Big insurer launches new VA
RETIREMENT PLANNING OCT 02, 2012
Surprise! Big insurer launches new VA

New York Life going where other carriers fear to tread; risk management key

By Darla Mercado
RETIREMENT PLANNING OCT 02, 2012
Adviser opening: Covering retirees

By Darla Mercado
LPL looks to goose VA sales
RETIREMENT PLANNING OCT 02, 2012
LPL looks to goose VA sales

Creates new tools to help advisers better explain variable annuities to clients; many B-Ds seeing falloff in business

By Darla Mercado
LPL 'a couple of cylinders off' in 2Q
INDEPENDENT BROKER DEALERS OCT 02, 2012
LPL 'a couple of cylinders off' in 2Q

LPL announced its results for the second quarter. The message? Mixed.

By Bruce Kelly
Team members out-earning solo advisers — and by a lot
INDEPENDENT BROKER DEALERS OCT 01, 2012
Team members out-earning solo advisers — and by a lot

Here's a pretty startling statistic: New data shows that advisers who work in teams make 32% more money than those who fly solo. Indeed, the average team member pulls down nearly $300,000 a year.

By Liz Skinner
WIREHOUSES OCT 01, 2012
Smith Barney bites the dust

It's official — management at Morgan Stanley has eighty-sixed the 'Smith Barney' name, rebranding the iconic brokerage as Morgan Stanley Wealth Management. What would John Houseman think?

By Andrew Osterland
WIREHOUSES OCT 01, 2012
HighTower opens gates for breakaway advisers

By AOSTERLAND