Displaying 28181 results
5 non-money-related books to help you (and your children) live a better financial life
There's still time left for end-of-summer reading.
Mercer Advisors acquires Blue Moon Wealth Advisory
Mercer manages about $11 billion in assets, while Blue Moon manages $90 million.
Since banking scandal, Wells Fargo advisers with more than $19.2 billion leave firm
Despite a trying year, the firm has said it will sweeten signing bonuses for veteran advisers.
Fired UBS adviser revives Palm Beach scandal
Craig Price claims he was fired for speaking up about the abuse of a trust fund.
Baby boomers dominate housing market, leaving millennials out in the cold
A simmering conflict is brewing between the two biggest generations in U.S. history.
The best and worst states for growing old
Plus, find out how the median monthly cost of an assisted-living facility compares from state to state.
401(k) DCIOs: Some are folding, holding and doubling down
It behooves plan advisers to pay attention to their asset-management partners, because advisers rely on them for marketing and practice management support and guidance.
Is LPL’s deal sweet enough for NPH’s 3,200 reps and advisers?
They will have to decide if the signing package they are being offered by LPL makes sense. A lot is hanging in the balance.
Anticipating delay to DOL fiduciary rule, broker-dealers and RIAs change course
Brokerage firms, the group most affected by a rule delay, would likely put off big projects around adviser compensation and trimming investment products.
Energy funds adviser settles with SEC over fees
Agency says manager overcharged funds $1.5 million
How to select the right TDF for a 401(k) plan
A fiduciary process involves a full understanding of what should be done, rather than what can be done.
LPL Financial buys NPH, a broker-dealer network with 3,200 advisers
The deal, part of which is based on the advisers and revenue that eventually will move from NPH, could potentially cost LPL $448 million.
Massachusetts securities chief William Galvin launches investigation of broker ‘kickbacks’
Says states need to take the lead in securities investigations as Trump moves to cut back financial regulation.
Best-interest contract could be casualty of DOL fiduciary rule delay
Length of time for measure's review gives SEC, other regulators greater chance to get involved in setting advice standards.
FSC Securities to pay $592,000 for failure to supervise leveraged ETFs
The Financial Industry Regulatory Authority Inc. and FSC Securities last Thursday announced that the firm will pay a $100,000 fine and $492,000 to clients.
In poll, economists say they expect Congress to pass tax cuts by Nov. 2018
They do not believe the cuts will do much to help economy next year.
Compass Financial Resources moves affiliation to Securities America
Kansas-based firm managing $340 million had been affiliated with National Planning Corp.
Former Newport, Revere rep barred for failure to testify
George Dahl appeared at Finra hearing but did not provide requested testimony.
North Korea: How should advisers react?
Saber rattling is cause for concern, but advisers are not making wholesale moves in client portfolios.
How to fund a Social Security delay
Several strategies can cover the gap to help clients claim a bigger benefit later
