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Fiduciary rule will top agenda for new head of SEC’s Division of Investment Management
David Grim steps down after two-decade career at agency; new leader has not been named.
Wells Fargo team managing $300 million moves to Raymond James
Three-broker group in Rochester, N.Y., joins firm's employee unit
Ex-Morgan Stanley executive acquires two broker-dealers, 500 advisers
Doug Ketterer is launching Atria Wealth Solutions with the backing of private equity shop Lee Equity Partners.
LPL’s new CEO intent on moving beyond problems
Dan Arnold strikes a sunny tone at B-D's annual Focus meeting.
How to reduce risk when doing 401(k) plan re-enrollments
Advisers should review the plan document and make sure they give participants the right to opt out of the re-enrollment.
Consumer and insurance groups disagree on advice standard for annuity sales
Consumer groups and American Council of Life Insurers square off over how stringent the investment advice standard should be.
Thrivent acquires $7 billion RIA Ronald Blue & Co.
Firm says move expands its trust company capabilities and ability to serve complex financial needs.
Morgan Stanley loses $500 million team in New York
Four-person group joins the Alex. Brown division of Raymond James.
Finra bars broker, firm principals for $5 million account churning
But no fines or restitution imposed because two of the three have filed for bankruptcy.
J. Mark Iwry, architect of myRA, discusses its demise
A former senior adviser to the Treasury finds resistance to the program 'baffling.'
A refresher course on Social Security claiming rules
New "deeming" rules can trip up claiming strategies.
$6 billion hybrid RIA group leaves LPL for Cetera
The three-adviser group, from Alliant Retirement Consulting, specializes in retirement plans.
Wells Fargo looks unusually cheap, but investors fret mojo’s gone
Due to ongoing scandals, the stock's underperforming the KBW Bank Index
Today’s retirees are better off than previously thought
Millions of older Americans benefit from traditional retirement plans, new research finds.
Assets at RIAs growing at 5.8%: report
Investment Adviser Association and NRS also say number of firms increased by 2.7% year over year.
The upside-down 401(k) world is about to change
Parts of the 401(k) plan that are currently customized will become mass-produced, and vice versa.
RIAs less optimistic about economy and stock market
They have higher hopes for global economy, TD Ameritrade survey finds.
LPL Financial benefits from flight of Wells Fargo advisers
Independent broker-dealer signs up 15 teams from the bank's wirehouse in the second quarter.
Number of experienced defined-contribution plan advisers to grow with DOL fiduciary rule
The most specialized retirement plan advisers control nearly 70% of adviser-held DC assets.
DOL fiduciary rule already proving to be harmful and onerous
The Financial Services Institute has urged the DOL to delay full implementation of the rule until April 10, 2019. But a delay alone will not be enough, according to the trade group.
