Doug Ketterer is launching Atria Wealth Solutions with the backing of private equity shop Lee Equity Partners.
Dan Arnold strikes a sunny tone at B-D's annual Focus meeting.
Advisers should review the plan document and make sure they give participants the right to opt out of the re-enrollment.
Consumer groups and American Council of Life Insurers square off over how stringent the investment advice standard should be.
Firm says move expands its trust company capabilities and ability to serve complex financial needs.
Four-person group joins the Alex. Brown division of Raymond James.
But no fines or restitution imposed because two of the three have filed for bankruptcy.
A former senior adviser to the Treasury finds resistance to the program 'baffling.'
New "deeming" rules can trip up claiming strategies.
The three-adviser group, from Alliant Retirement Consulting, specializes in retirement plans.
Due to ongoing scandals, the stock's underperforming the KBW Bank Index
Millions of older Americans benefit from traditional retirement plans, new research finds.
Investment Adviser Association and NRS also say number of firms increased by 2.7% year over year.
Parts of the 401(k) plan that are currently customized will become mass-produced, and vice versa.
They have higher hopes for global economy, TD Ameritrade survey finds.
Independent broker-dealer signs up 15 teams from the bank's wirehouse in the second quarter.
The most specialized retirement plan advisers control nearly 70% of adviser-held DC assets.
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.
Brokers implied government affiliation or approval, says enforcement action
Ron Kruszewski doesn't think the DOL rule will be implemented on schedule — and may never take effect.
