Under the proposal, investment advisers would have to establish written policies to safeguard client data.
High-ranking, bipartisan members of the House Financial Services Committee back the legislation
William Poynter declined to appear at hearing looking into tuition reimbursements.
Bucking industry trends, North Capital thinks evisor can be a low-cost alternative to existing financial planning tools.
Plaintiff's lawyer says junk bonds, futures contracts and derivatives were inappropriate for his clients.
Philip Nalesnik failed to inform firm of outside business activities.
'Portability' allows a surviving spouse to tack on the decedent's exemption to his or her own. Despite the higher threshold for paying estate taxes in the 2017 tax law, experts recommend filing for the benefit.
Demand for new revenue sources points to relationships
To combat fee compression, many look to diversify their businesses.
CAPTRUST CEO discusses acquisitions and recruiting in the retirement space, and his biggest concerns
Pressure mounts for smaller firms, as benefits of scale become more important.
Private-equity firms lead new set of big buyers.
It's vitally important to develop new leaders who expect diversity and inclusion to be a core part of company strategy
Record keepers are offering services to retirement plan participants that are raising the hackles of RPAs.
Because after all, advisers are the most informed constituents to weigh in.
Real talk about real industry concerns.
We break down the data by firm, assets and advisers.
Advisers need to pay particular attention to Roth conversions and qualified charitable distributions
Small-brokerage executive expresses concern over lack of specifics about what is 'best,' given an inability to make perfect investment choices for every client.
At its second Innovation Symposium, the firm considered which issues will affect the future of financial advice.
