A half-dozen clients of Triad Advisors filed arbitration claims last quarter totaling $1.65 million.
SEC says the firm's share-class selection calculator was inadequately tested and validated.
Josh Pace is joining Connecticut-based Apella Capital, which already has a handful of deals under its belt
Fidelity and Empower have already rolled out similar products.
It's important for advisers to prepare themselves for retirement, rather than adopting a 'wait and see' attitude
VETS ETF crushes the competition with a 33% gain this year.
David Mattern launches Mattern Wealth Management in Lawrence, Kan.
Many sponsors of the popular 401(k) funds don't disclose their use of underlying in-house investments.
Critic says latest iteration falls short of true best-interest standard set by New York
Agency says firm also engaged in self-dealing transactions that profited firm's reps.
Linan Abrego decided not cooperate with regulators investigating case.
Ruless Pierre charged with securities fraud and wire fraud over promises of 20% returns.
When firms fail to interact properly, advisers are tempted to find a partner that will.
Mr. Adolf likes what he sees at Focus, questions the strategy of competition
Rolling out the red carpet for wirehouse reps managing $75 million to $200 million.
Hege Financial Group is five-adviser team in Winston-Salem, N.C.
Attorneys say investment firm's returns to investors came from new investors, not from business operations
Regulator says firms failed to supervise share-class recommendations to plan investors.
Advisers need to understand the issues, the risks and the roles of each of the parties in the 401(k) food chain that handle data, especially participant data
Merrill to boost payment to advisers who commit in 2021 to 'client transition program.'
