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.
Regulator says Ralph Villanueva Villavicencio failed to provide testimony for its investigation.
Consumer groups and American Council of Life Insurers square off over how stringent the investment advice standard should be.
Advisers should review the plan document and make sure they give participants the right to opt out of the re-enrollment.
Four-person group joins the Alex. Brown division of Raymond James.
A former senior adviser to the Treasury finds resistance to the program 'baffling.'
Firm says move expands its trust company capabilities and ability to serve complex financial needs.
But no fines or restitution imposed because two of the three have filed for bankruptcy.
New "deeming" rules can trip up claiming strategies.
Due to ongoing scandals, the stock's underperforming the KBW Bank Index
Securities and Exchange Commission steps up information collection to augment risk analysis.
Investment Adviser Association and NRS also say number of firms increased by 2.7% year over year.
The three-adviser group, from Alliant Retirement Consulting, specializes in retirement plans.
Millions of older Americans benefit from traditional retirement plans, new research finds.
They have higher hopes for global economy, TD Ameritrade survey finds.
Parts of the 401(k) plan that are currently customized will become mass-produced, and vice versa.
Income-tax increase on wealthy to pay for middle-class cuts won't encourage growth, says Marc Short, Trump's director of legislative affairs.
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.
