With the Massachusetts decision, the fiduciary question now moves to states.
Authoritative and personable, with an underdog spirit, InvestmentNews Innovator Dan Otter is on a mission to root out bad retirement plans and investments for teachers.
Most HNW individuals are compliant because they have quality advisors who know the law and how to follow it correctly, says one advisor.
Women should ensure spouse's wealth is aligned to long-term goals of both, says Schwab Wealth Advisory director.
As Wolfsen succeeds founder Eric Clarke as CEO of Orion, AssetMark announces she will be replaced by Michael Kim, a 13-year veteran of the company.
Independent advisors can use Flourish to offer clients 5% APY on cash and up to $10 million in FDIC insurance.
Former Trump Attorney General enters fight with other heavyweights on behalf of broker-dealer against Biden’s Justice Department.
A new firm is born in Houston with Linsco by LPL Financial.
Compound, a financial and tax advisory service for tech executives, is joining Alternativ Wealth, a digital RIA, to form Compound Planning.
'It’s the most extreme churning I’ve seen in more than 40 years,' the investor's lawyer says.
Labor Day weekend is a traditional time for financial advisors to leave one firm and be recruited by another.
Clients with $25 million-plus require the most hand-holding from financial advisors.
North Carolina advisor team was previously affiliated with Securities America.
Arizona-based Validus Financial Associates is led by Ryan Kidd and Aaron Montez.
'I can’t recall when they’ve been so explicit about what they do and why they choose a firm for examination,' a compliance expert says.
The cost of the new system was estimated at $500 million at the end of last year.
Chuck Smith and his team at Qualified Plan Advisors will be running 401K, or 250 miles, in honor of National 401(k) Day Friday.
The more than a dozen major new rules the agency has proposed or finalized will create significant disruption for investment advisors, with substantial long-term implications.
Scale offers the solutions, capital and expertise entrepreneurial financial advisors need to serve their clients with distinction and build strong businesses.
The three financial advisors and four associates join the firm from Avantax.
