Advisor News

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INDEPENDENT BROKER DEALERS APR 28, 2016
LPL reports paltry adviser gains in 2015

Revenue from commissions declined in the fourth quarter, as it has across the brokerage industry.

By Bruce Kelly
What you really need to think about when choosing a retirement destination
RETIREMENT PLANNING APR 27, 2016
What you really need to think about when choosing a retirement destination

Retirement expert reflects on how she and her husband chose the number-one state for pre-retirees without even knowing it.

By Mary Beth Franklin
Why independent broker-dealers are in survival mode
INDEPENDENT BROKER DEALERS APR 27, 2016
Why independent broker-dealers are in survival mode

<i>InvestmentNews</i> senior columnist Bruce Kelly talks about the challenges facing indie B-Ds and what many firms are doing to survive.

By InvestmentNews Staff
Relief for looming Social Security deadline
RETIREMENT PLANNING APR 27, 2016
Relief for looming Social Security deadline

Clients can file a protective form to protect their claiming rights.

By Mary Beth Franklin
Dispatch from the retirement front: Choosing a retirement destination
RETIREMENT PLANNING APR 27, 2016
Dispatch from the retirement front: Choosing a retirement destination

<i>InvestmentNews</i> contributing editor reflects on how she and her husband chose the number-one state for pre-retirees without even knowing it.

By Mary Beth Franklin
Social Security employees finally get instructions on how to implement new claiming rules
RETIREMENT PLANNING APR 27, 2016
Social Security employees finally get instructions on how to implement new claiming rules

But watch out: The range of advice issued by local offices and hotline operators has been very inconsistent.

By Mary Beth Franklin
Using PowerPoint for client meetings
FINTECH APR 27, 2016
Using PowerPoint for client meetings

Numbers need to be in a visual format that conveys how clients are reaching their goals and making money.

By Sheryl Rowling
DOL fiduciary rule will impact less than 10% of Bank of America wealth assets, CFO says
REGULATION AND LEGISLATION APR 26, 2016
DOL fiduciary rule will impact less than 10% of Bank of America wealth assets, CFO says

Move to Merill Lynch One platform will blunt regulation's impact.

By Christine Idzelis
Goldman Sachs to acquire retirement-savings startup
FINTECH APR 26, 2016
Goldman Sachs to acquire retirement-savings startup

Goldman Sachs has agreed to acquire Honest Dollar, a mobile retirement savings platform that works with those who do not have access to an employer-sponsored plan.

By Alessandra Malito
Galvin widens investigation into alleged RCS proxy fraud
INDEPENDENT BROKER DEALERS APR 26, 2016
Galvin widens investigation into alleged RCS proxy fraud

Massachusetts securities division examining independent broker-dealers that sold RCS alternative investments such as nontraded REITs.

By Bruce Kelly
PRACTICE MANAGEMENT APR 25, 2016
Advisers to face stricter anti-money-laundering rules

Government focus on rooting out financial crimes includes proposals to get advisers more involved.

By Liz Skinner
Lawsuits against fiduciary rule likely to cite DOL's lack of authority
REGULATION AND LEGISLATION APR 25, 2016
Lawsuits against fiduciary rule likely to cite DOL's lack of authority

Based on comment letters and testimony before Congress, a court challenge will probably focus on who brokers really answer to

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS APR 25, 2016
Still plenty of headaches for independent broker-dealers in the DOL fiduciary rule

New business models, heavy compliance costs and figuring out 'reasonable' fees are among the items giving IBDs fits.

By Liz Skinner
Stifel fined $750,000 for failure to follow reserve requirements
PRACTICE MANAGEMENT APR 25, 2016
Stifel fined $750,000 for failure to follow reserve requirements

The broker-dealer didn't account for reserves needed to cover loans secured with customer assets.

By Greg Iacurci
Broker Michael Donnelly sentenced to prison after defrauding elderly, SEC says
REGULATION AND LEGISLATION APR 25, 2016
Broker Michael Donnelly sentenced to prison after defrauding elderly, SEC says

He provided fake information about their investment holdings to hide his scheme.

By Christine Idzelis
Perez expresses confidence final DOL rule will survive opposition
REGULATION AND LEGISLATION APR 25, 2016
Perez expresses confidence final DOL rule will survive opposition

The Labor secretary says the regulation that would increase investment advice standards for retirement accounts will withstand challenges from those looking to kill it.

By Mark Schoeff Jr.
FINTECH APR 24, 2016
Morningstar launches new client portal to tap data aggregation capabilities

The company is tackling two trends in financial technology: better dashboards for clients and pulling in held-away assets.

By Alessandra Malito
Janney Montgomery Scott partners with Quovo on goals-based budgeting tool
FINTECH APR 24, 2016
Janney Montgomery Scott partners with Quovo on goals-based budgeting tool

The firm plans to zone in on finance tracking to help clients really understand the 'big picture.'

By Alessandra Malito
The role of the broker-dealer in a post-DOL-fiduciary world
REGULATION AND LEGISLATION APR 24, 2016
The role of the broker-dealer in a post-DOL-fiduciary world

The more structure we can provide advisers during this seismic shift, the more likely they will be about to adapt.

By Adam Antoniades
RETIREMENT PLANNING APR 22, 2016
When the kids get your long-term-care bill

The laws create the possibility that parents' long-term-care expenses may be shouldered by their children.

By Greg Iacurci