Advisor News

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INDEPENDENT BROKER DEALERS APR 23, 2017
Top independent broker-dealers by revenue and payout

A look at how the top firms fared in 2016.

By IN Research and Ellie Zhu
INDEPENDENT BROKER DEALERS APR 22, 2017
Independent broker-dealers hit a wall

The top 25 firms collectively reported a decline in revenue for the first time since the 2008 credit crisis, according to InvestmentNews' annual survey

By Bruce Kelly
INDEPENDENT BROKER DEALERS APR 22, 2017
Independent broker-dealer revenue on the decline

Firms participating in Investment News' annual IBD survey posted their first average year-over-year drop in revenue since the 2008 credit crisis

By Ellie Zhu
FINTECH APR 22, 2017
Setting a new price for financial adviser services

With more and more technology options being made available to clients, it's time for advisers to rethink what they charge for their services

By crain-api
RETIREMENT PLANNING APR 21, 2017
Retirees embrace the gig economy

For some, freelance work replaces pensions in traditional retirement three-legged stool.

By Mary Beth Franklin
RETIREMENT PLANNING APR 21, 2017
Retirees embrace the gig economy

For some, freelance work replaces pensions in traditional retirement three-legged stool.

By Mary Beth Franklin
REGULATION AND LEGISLATION APR 21, 2017
Piwowar says it's time for SEC to 'reassert its role' on investment advice standards

As DOL fiduciary rule stalls, Michael Piwowar seeks to have SEC step in.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 20, 2017
In K-12 403(b) plans, employees and their unions can be their own worst enemy

Distrust between school districts and unions, as well as potential financial incentives, factor into lack of reform.

By Greg Iacurci
RETIREMENT PLANNING APR 20, 2017
The future of tax preparation? Getting your taxes done without answering a single question

A TurboTax executive discusses why Americans procrastinated this tax season and the future of tax preparation.

By Bloomberg
RETIREMENT PLANNING APR 20, 2017
More millennials who live at home don't work

Among 25- to 34-year-olds living at home, one in four is neither enrolled in school nor working, according to new data from the Census Bureau.

By Bloomberg
REGULATION AND LEGISLATION APR 20, 2017
Seniors get help and $4.3 million from Finra hotline

More than 9,200 calls result in 650 referrals to regulators, 130 to protective services.

By InvestmentNews
FINTECH APR 20, 2017
Colorado proposes new cybersecurity rules for advisers

Other states also likely to issue requirements for protecting client financial data.

By Liz Skinner
REGULATION AND LEGISLATION APR 20, 2017
SEC enforcement actions against broker-dealers up 20%

But overall activity in first half of the government's fiscal year remained on par with the same period last year.

By InvestmentNews
INDEPENDENT BROKER DEALERS APR 20, 2017
Berthel Fisher, once again, in hot water with Finra for failing to supervise sales

The mid-sized IBD again allegedly failed to supervise sales, this time of UITS

By Bruce Kelly
FINTECH APR 20, 2017
Asset Vantage acquires Financial Navigator

Both firms serve family offices with accounting, reporting tools.

By InvestmentNews
FINTECH APR 20, 2017
Robo offers white-label version for advisers

InvestmentPOD says it provides dynamic strategies at robo prices

By InvestmentNews
FINTECH APR 20, 2017
How technology will alter the role of human advisers in wealth management

Our jobs will be to optimize financial lives by applying our human perspective, our hearts and our intuition.

By Joe Duran
RETIREMENT PLANNING APR 19, 2017
Ric Edelman proposes Social Security fix: Allot $7,000 for each baby

Adviser's plan begins with the federal government setting aside money for each newborn baby for 35 years, to be invested for the child's retirement.

By Mark Schoeff Jr.
WIREHOUSES APR 19, 2017
Ex-Merrill Lynch broker pleads guilty to $8.7 million bank fraud

The 25-year veteran of the firm concocted false account statements to establish multi-million dollar lines of credit at two banks.

By Bruce Kelly
REGULATION AND LEGISLATION APR 19, 2017
Former broker wins $1.8 million arbitration award against PNC Investments for wrongful firing, defamation

Finra panel determined that the allegations against her had nothing to do with the securities business.

By Mark Schoeff Jr.