They're now more valuable than ever.
Jose Lopez and Misael Lugo are joining the firm's employee channel in Orlando, Fla.
Gayle Johnson based in Santa Fe, N.M., goes RIA.
A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'
Tom Hankins and Jay Lauzon are based in Flint, Mich.
ProShares and VanEck offerings are among those withdrawn at the agency's request.
Private equity backing could fuel acquisitions by the large RIA.
Racquel Oden to oversee branch and wealth management teams for tri-state area.
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
Bradley Mascho already charged by SEC with abetting fraud.
RIAs and Brokers must recognize each other's strengths and weaknesses for the sake of clients.
Mercer acquired Tokyo-based hedge fund multimanager BFC Asset Management Co. in a move its global wealth management chief predicts will accelerate the nascent growth of Mercer's delegated investments business in Japan.
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients.
An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.
Valuations of RIAs will continue to entail more art than science.
While advisers face the difficult task of analyzing the law's impact, they will also have a significant opportunity to prove their value by implementing money-saving strategies for clients as well as their own businesses.
Will clients become more interested in paying commissions? Will the new tax law steer more financial advisers toward independent channels? It could.
10-year Treasury rate's move above 2.5% confirms outlook for fixed income, legendary bond manager says.
