Under the proposal, investment advisers would have to establish written policies to safeguard client data.
High-ranking, bipartisan members of the House Financial Services Committee back the legislation
Kathryn Brown says the position has made every other role at Morton Brown Family Wealth more productive and has transformed their platform from data storage into data action.
Bucking industry trends, North Capital thinks evisor can be a low-cost alternative to existing financial planning tools.
Plaintiff's lawyer says junk bonds, futures contracts and derivatives were inappropriate for his clients.
'Portability' allows a surviving spouse to tack on the decedent's exemption to his or her own. Despite the higher threshold for paying estate taxes in the 2017 tax law, experts recommend filing for the benefit.
CAPTRUST CEO discusses acquisitions and recruiting in the retirement space, and his biggest concerns
To combat fee compression, many look to diversify their businesses.
Demand for new revenue sources points to relationships
It's vitally important to develop new leaders who expect diversity and inclusion to be a core part of company strategy
Private-equity firms lead new set of big buyers.
Pressure mounts for smaller firms, as benefits of scale become more important.
Because after all, advisers are the most informed constituents to weigh in.
Record keepers are offering services to retirement plan participants that are raising the hackles of RPAs.
We break down the data by firm, assets and advisers.
Real talk about real industry concerns.
Small-brokerage executive expresses concern over lack of specifics about what is 'best,' given an inability to make perfect investment choices for every client.
Advisers need to pay particular attention to Roth conversions and qualified charitable distributions
At its second Innovation Symposium, the firm considered which issues will affect the future of financial advice.
The regulator sees patterns in the behavior and disclosures of high-risk brokers.
