If clients ask, firms must give them contact information for their former brokers
Independent Financial Partners to launch IFP Securities in May.
Principal paid less than other firms that have acquired large retirement businesses in the past decade and a half, according to an InvestmentNews analysis.
Martin Stancik, with Voya until 2014, is currently serving 65-month term.
Advisers will still need to get DFA's approval to access its mutual funds.
A 10-basis-point tax on financial transactions would have the same effect as a 31% boost in the average expense ratio 401(k) plans pay for equity funds.
Workers who can't afford to save are the ones most in need of employer contributions.
Referrals between newer and experienced advisers key to the hiring of 300 new advisers.
Provision of the 2017 tax overhaul lets investors pay less in taxes on profits that are reinvested in low-income communities.
Many RIAs falter as they grow, caught off guard when the client-facing work they've always done seems to show diminishing returns.
The employee lawsuit against Anthem Inc. surprised advisers because Vanguard is widely seen as a low-cost provider.
Transaction is part of Wells' effort to streamline its operations in the wake of scandals.
SEC chairman indicates desire to modify accredited investor standard.
Precidian Funds has been waiting four years for the agency's approval
Having the technology isn't enough anymore
'Credit Exchange' will enable advisers to offer pre-qualified loans to clients.
Technology that empowers advisers is a key component of a successful strategy, but it is not, in and of itself, a strategy.
The bank's biggest shareholder says hiring an executive from a financial institution would trigger criticism from Washington, Financial Times reports.
Adviser tools must bridge knowledge gaps.
Financial planners need to up their game in what they provide clients.
