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Why You Needed a Continuity Plan Yesterday
OPINION OCT 04, 2018
Why You Needed a Continuity Plan Yesterday

With many people depending on a practice to continue operating in an advisor's absence, it's vital to have a detailed continuity plan. Learn how to get started on yours today.

By Roger Verboon
Mary Beth Franklin: Slowing drug costs temper health care inflation
RETIREMENT PLANNING OCT 03, 2018
Mary Beth Franklin: Slowing drug costs temper health care inflation

But medical expenses will consume a growing portion of retirement budgets.

By Mary Beth Franklin
Super-rich are piling up wealth in black-box charities
TAX OCT 03, 2018
Super-rich are piling up wealth in black-box charities

Money flowing into donor-advised funds far outstrips grants being made from the funds.

By Bloomberg
Settlements at old Schorsch REIT could cost shareholders $730 million
ALTERNATIVES OCT 03, 2018
Settlements at old Schorsch REIT could cost shareholders $730 million

Accounting scandal from 2014 could wind up costing shareholders 75 cents per share, analyst says.

By Bruce Kelly
LPL recruits $220 million Missouri team from Waddell & Reed
INDUSTRY NEWS OCT 03, 2018
LPL recruits $220 million Missouri team from Waddell & Reed

BMG Advisors has served clients in Kansas City for 35 years.

By Bloomberg
Schwab report shows strong growth of SEC-regulated advisers
REGULATION AND LEGISLATION OCT 03, 2018
Schwab report shows strong growth of SEC-regulated advisers

New registrations increased 20% in 2017 over the year before

By Mark Schoeff Jr.
Mary Beth Franklin: Ways to modernize Social Security benefits
RETIREMENT PLANNING OCT 03, 2018
Mary Beth Franklin: Ways to modernize Social Security benefits

Options include boosting benefits for widows and the poor at the expense of high earners.

By Mary Beth Franklin
JB Investment Management joins RMB Capital
FIXED INCOME OCT 03, 2018
JB Investment Management joins RMB Capital

JB Investment Management helps RMB expand their fixed income offerings for clients.

By Bloomberg
Mercer, Morningstar join forces for single digital research platform
INDUSTRY NEWS OCT 03, 2018
Mercer, Morningstar join forces for single digital research platform

The new platform will be made available on Morningstar Direct and introduced by region next year.

By Bloomberg
New FPA survey reveals characteristics of top advisers
PRACTICE MANAGEMENT OCT 03, 2018
New FPA survey reveals characteristics of top advisers

'Behavioralists' outpace their colleagues in such areas as net client growth rates and referrals.

By Jeff Benjamin
Stifel subsidiary acquires $1.3 billion San Francisco-based RIA
RIAS OCT 02, 2018
Stifel subsidiary acquires $1.3 billion San Francisco-based RIA

Purchase of Rand & Associates gives 1919 Investment Counsel a physical presence on the West Coast.

By Sarah Min
Finra CEO Robert Cook cautions industry not to take comfort in sharp drop in fines last year
REGULATION AND LEGISLATION OCT 02, 2018
Finra CEO Robert Cook cautions industry not to take comfort in sharp drop in fines last year

A recent third-party report showed Finra fines up in the first half of 2018, but the regulator declined to project this year's numbers, saying only that penalties fluctuate.

By Mark Schoeff Jr.
Benjamin F. Edwards & Co. has been picking off Wells Fargo brokers for years
WIREHOUSES OCT 02, 2018
Benjamin F. Edwards & Co. has been picking off Wells Fargo brokers for years

Many of them previously worked at A.G. Edwards, the firm founded by the great-great-grandfather of Benjamin F. Edwards & Co.'s CEO.

By Bruce Kelly
Ohio National to end brokerage arrangements, eliminate adviser compensation on variable annuities
BROKER DEALERS OCT 02, 2018
Ohio National to end brokerage arrangements, eliminate adviser compensation on variable annuities

Financial advisers say the move will leave their clients vulnerable and sets a bad industry precedent.

By Greg Iacurci
Sweeping retirement legislation is likely coming soon
RETIREMENT PLANNING OCT 02, 2018
Sweeping retirement legislation is likely coming soon

The retirement landscape could be transformed, so advisers should pay close attention.

By Blaine F. Aikin
Another 403(b) plan sponsor beats back fee lawsuit
RETIREMENT PLANNING OCT 01, 2018
Another 403(b) plan sponsor beats back fee lawsuit

Washington University in St. Louis joins other colleges that have prevailed in court.

By Greg Iacurci
Finra will consolidate examination, risk-monitoring programs
REGULATION AND LEGISLATION OCT 01, 2018
Finra will consolidate examination, risk-monitoring programs

Goal is to 'create a single point of accountability for the examinations of firms'

By Mark Schoeff Jr.
Sanctuary Wealth Partners rolls out red carpet for breakaway brokers
RIAS OCT 01, 2018
Sanctuary Wealth Partners rolls out red carpet for breakaway brokers

Five deals in five months lift the fledgling hybrid RIA to $5.5 billion.

By Jeff Benjamin
What's at stake with a branch audit?
PRACTICE MANAGEMENT OCT 01, 2018
What's at stake with a branch audit?

Your statements to an auditor could come back to haunt you should the issue escalate.

By Michelle Atlas
Boom in safest stocks rings alarm bells on Wall Street
INDUSTRY NEWS OCT 01, 2018
Boom in safest stocks rings alarm bells on Wall Street

Rising demand for defensive assets casts shadow over post-crisis bull run.

By Bloomberg