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FINTECH NOV 06, 2013
Trying to harness the power of big data for advisers

From analytics to zettabytes, big data is overtaking tech platforms in the financial services industry.

By Joyce Hanson
INDUSTRY NEWS NOV 06, 2013
Icahn escalates Twitter battle with Gross over giving

Icahn prods Gross to sign Buffett's "Giving Pledge" and give away at least half his wealth.

By Gregory Crawford
INDUSTRY NEWS NOV 06, 2013
Bank of America Merrill Lynch exec named to lead ING broker-dealer

Thomas Halloran, who was the managing director overseeing product strategy and acquisition for Merrill Edge, named to lead B-D ING Financial Partners.

By Trevor Hunnicutt
RETIREMENT PLANNING NOV 06, 2013
Regulatory changes driving up demand for retirement plan advisers

Disclosures, investments and fees are key areas of focus, panelist say.

By Trevor Hunnicutt
INDUSTRY NEWS NOV 06, 2013
A new way to benchmark Section 529 plans

By Liz Skinner
LIFE INSURANCE AND ANNUITIES NOV 06, 2013
When retirement products miss the mark

Insurance and fund executives recount ideas that exceeded regulatory framework

By Darla Mercado
REGULATION AND LEGISLATION NOV 06, 2013
JHS Capital, former broker slapped with $1.9M arb award

Claimant's lawyer called it the 'most egregious case of churning' he has ever seen

By Bruce Kelly
BROKER DEALERS NOV 06, 2013
Ex-GunnAllen boss sets sights on small B-Ds

Sykes bulking up new firm, JHS; set to acquirer broker-dealer of Paulson Capital

By Bruce Kelly
GunnAllen brokers find new home with old boss
BROKER DEALERS NOV 06, 2013
GunnAllen brokers find new home with old boss

About 30 brokers who used to be with the defunct broker-dealer GunnAllen Financial have found a new home — with their old boss, John Sykes

By Hilary Johnson
GunnAllen set to declare Chapter 11 bankruptcy: Sources
INDUSTRY NEWS NOV 06, 2013
GunnAllen set to declare Chapter 11 bankruptcy: Sources

Filing could leave plaintiffs fighting over insurance money

By Bloomberg
BROKER DEALERS NOV 05, 2013
Adviser channel migration trends

A look at the top B-Ds by percentage of advisers that rate a 'strong likelihood' to consider joining, plus net change in AUM at each B-D.

By Andrew Leigh
REGULATION AND LEGISLATION NOV 05, 2013
Goldman economist cites Fed strategy to push tapering even further away

A Goldman economist uncovers a Fed strategy to push tapering out as far as the eye can see. Meanwhile, don't get fooled by all the Twitter IPO hype but take a look at U.S.-listed Chinese stocks. From <i>InvestmentNews</i> senior columnist Jeff Benjamin.

By Jeff Benjamin
RIAS NOV 05, 2013
Investor bullishness is the latest reason to be cautious about stocks

Plus: Goldman shows its softer side to recruit the Millennial market

By Jeff Benjamin
INDUSTRY NEWS NOV 05, 2013
Small-cap stocks double Dow Jones Industrial Average. Is economy gaining speed?

The smallest stocks are rallying almost twice as fast as bigger companies in the U.S., a bullish economic signal from businesses whose profits are most dependent on domestic demand.

By Matt Ackermann
RIAS NOV 05, 2013
LPL to add fee for third-party portfolio platform

For the third year in a row, LPL Financial plans to institute some kind of fee increase. The one slated for 2014 is on the firm's third-party money management platform and has some advisers unhappy. Bruce Kelly has the story.

By Bruce Kelly
REGULATION AND LEGISLATION NOV 05, 2013
Advisers disgusted with D.C. politics after budget drama

After Democrats and Republicans came together for a brief display of bipartisanship to avert a U.S. debt default, financial advisers all but turned their backs on Washington.

By Jeff Benjamin
INDUSTRY NEWS NOV 05, 2013
Investment managers gloomy about economy

Fewer than a third of survey respondents expect corporate profits to improve in the next year

By Trevor Hunnicutt
RIAS NOV 05, 2013
Two independents join LPL affiliate in the Nutmeg State

Advisers - and their $800M in client assets - join Northstar from Essex.

By Trevor Hunnicutt
RIAS NOV 05, 2013
LPL adds firm with $1B in assets

VisionPoint Advisory serves corporate retirement plans, private clients.

By Trevor Hunnicutt
INDUSTRY NEWS NOV 05, 2013
Gundlach reverses course on interest rates

The bond superstar sees no end in sight for rate increases, despite previously predicting rates would fall as low as 1.7% before year-end.

By Jason Kephart