Mason Braswell writes about all things related to wirehouses and registered investment advisers for InvestmentNews. Since graduating from New York University in 2012, he has been covering the business of financial advice. In his spare time, Mason can be found wandering the street of New York City with his camera. Follow him on Twitter @masonbraswell for updates on wirehouses, RIAs and regulatory issues facing the industry.
Finra makes some information more prominent, but system still doesn't go far enough plaintiffs' attorneys say.
Share of wealth held by millionaires rose 16%, driven by strong performance of equities, report finds.
Industry heavyweights including Schwab, Wells Fargo and SIFMA bemoan the new Brokercheck link proposal from Finra, saying it is still too costly and vague.
The Bahnsen Group, which brought in $5 million in annual revenue last year, joins in Newport Beach, Calif.
Digital advice platforms look to get out in front of nervous clients as market volatility demands more communication.
Independent brokers and investment advisers will no longer have to pay a $200 per-person yearly tax.
Claim says UBS mismanaged a trust to keep monies invested in closed-end bond funds.
The group of six advisers brought in $5.44 million in annual revenue for their former firm.
Second big unit in as many weeks to leave wirehouse for regional firm.
After acquiring several investment advisers over the past decade, Stancorp decided to sell its private client group.
