William Brunner had resigned from Investment Planners Inc. last May.
Group advocating for investments like REITs, BDCs, close-end funds, and energy and equipment leasing programs changes name to Institute for Portfolio Alternatives.
Even if clients aren't paying too much for life insurance, being the first to talk to them about the costs can start the trust-building process.
Those who work with an adviser are most likely to buy an annuity.
Using dollar cost averaging within annuities can build clients' confidence about investing in the market.
Some lawmakers are warming to the notion of using annuities to help solve the nation's retirement crisis
Firms's advisory arms settle with SEC over breaching fiduciary duty and failing to disclose conflicts.
Firm enhances its discount wealth management offering with new digital tools.
In some cases, dependent children are eligible for Social Security based on their retired, disabled or deceased grandparent's benefits.
Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08.
Concurrent concern brewing over a pilot program being beta-tested through next year, possibly longer.
US authorities investigating whether unit inappropriately sold clients in-house investments.
New Cerulli report says the economics of the business — plus heavy regulation — make it unlikely that big tech firms will want to get into the advice market.
Class-action lawsuit against Edward Jones reflects concern over shifting clients from commission- to fee-based accounts.
This month's edition kicks off with the big news that former Envestnet executive Lori Hardwick is joining Riskalyze's Board of Directors.
Court agrees with university that offering many investment options is not a violation of ERISA.
Maryland senator pulls provision requiring such duty from bill, Nevada's time line for regulation remains uncertain.
Lawsuit alleges futures broker committed suicide because bank forced him to retire.
The ruling doesn't apply to services, so investment management services for retirement plans and IRAs remain fiduciary activities.
Wealthfront's reported drop in value took some in the advice industry by surprise, but it may not mean that investors will sour on the entire digital advice industry.
