Silicon Valley-based La Meer rolled out three online portals to help advisers comply with new regulations
The Broadridge affiliate has not filed notices required by the DOL, plaintiffs in a class-action lawsuit claim
The veteran advisers, natives of Venezuela, are based in Miami
Compensation and control over the client relationship are two key issues surrounding the shutdown
But there is little consensus on how to do so, according to comment letters submitted this week to the regulator
Advisers need to do what they do, and find partners who will mitigate their weaknesses
Timeline will use the cash influx to enhance the API technology behind it’s calculation engine
The app is available for Android and iOS users
Arbitration lawyer says decision sends signal to ‘Wall Street bullies’; Credit Suisse points to wins in other cases
Merrill Lynch, UBS and Wells Fargo have all adapted to an increase in digital adoption, according to second-quarter earnings reports
Cornerstone Financial Planning in Florida is led by a brother-sister team
More top-level departures are expected as the $26 billion megamerger draws nearer
Advisers are experiencing "longer than usual wait times," according to a memo
The class action alleges the company didn’t prudently monitor record-keeper expenses
The agency's overhaul targets proxy advisory firms like Institutional Shareholder Services and Glass Lewis
Blockchange gives advisers discretionary management over digital assets including Bitcoin, Ethereum, Bitcoin Cash and Litecoin, among others.
At a time when advisers’ tried-and-true in-person networking events are off-limits, what does it take to attract the attention of new clients?
Bills have been introduced in both the House and Senate that would adjust the formula to avoid a drop in benefits for those who turn 60 this year
It's getting harder for advisers who don't specialize in 401(k) plans to dabble in an industry littered with regulatory and legal land mines
If you're considering selling, the first question you need to answer is whether you want to join a fully integrated firm with a bold mission or become part of a financial consolidator
