Advisor News

Displaying 26793 results
UBS plans Miami office to work with Latin American firms
WIREHOUSES JAN 13, 2020
UBS plans Miami office to work with Latin American firms

The Swiss bank is targeting billions of dollars managed by Latin American intermediaries booking assets in the U.S.

By Bloomberg
More consolidation coming in online brokerage market
FINTECH JAN 13, 2020
More consolidation coming in online brokerage market

Firms need large cash on hand to make up lost commission revenue

By Ryan W. Neal
Rick Suarez to head $7.5 billion Clarfeld/Citizens Private Wealth
INDEPENDENT BROKER DEALERS JAN 13, 2020
Rick Suarez to head $7.5 billion Clarfeld/Citizens Private Wealth

Suarez succeeds firm founder Rob Clarfeld, who becomes executive chairman

By InvestmentNews
Managing 401(k) fees remains top plan sponsor concern
RETIREMENT PLANNING JAN 13, 2020
Managing 401(k) fees remains top plan sponsor concern

Callan survey suggests plan sponsors should consider indirect revenues in fee reviews

By InvestmentNews
Wall Street targets Silicon Valley rich
INDEPENDENT BROKER DEALERS JAN 13, 2020
Wall Street targets Silicon Valley rich

Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California

By Bloomberg
Will Finra’s rogue broker rule go far enough?
OPINION JAN 13, 2020
Will Finra’s rogue broker rule go far enough?

The problem won’t go away if it’s regarded solely as an issue for smaller firms

By InvestmentNews
Wells Fargo owes $103 million in second mobile banking case vs. USAA
PRACTICE MANAGEMENT JAN 13, 2020
Wells Fargo owes $103 million in second mobile banking case vs. USAA

Jury found Wells Fargo infringed on USAA patents, similar to findings in a November verdict

By Bloomberg
AI in 2020: Artificial Intelligence? Or just plain artificial?
FINTECH JAN 13, 2020
AI in 2020: Artificial Intelligence? Or just plain artificial?

AI is one of the buzziest words in fintech. Are the AI claims real or is our intelligence being insulted?

By Ryan W. Neal
Mitigating the 3 common conflicts of AUM fiduciaries
OPINION JAN 10, 2020
Mitigating the 3 common conflicts of AUM fiduciaries

Advisers who use an assets-under-management model should lead with planning and do what’s in the best interest of their clients at all turns

By Jamie Hopkins
Don't relegate diversity efforts as marketing
OPINION JAN 10, 2020
Don't relegate diversity efforts as marketing

Make D&I a core principle, not public relations

By Frank Paré
Wells Fargo team with $800 million moves to Raymond James
INDEPENDENT BROKER DEALERS JAN 10, 2020
Wells Fargo team with $800 million moves to Raymond James

Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City

By InvestmentNews
LPL integrates Envestnet MoneyGuide with ClientWorks
FINTECH JAN 09, 2020
LPL integrates Envestnet MoneyGuide with ClientWorks

The firm is hoping to make it easier for brokers to embrace financial planning

By Ryan W. Neal
It’s do-over season for Medicare Advantage plans
RETIREMENT PLANNING JAN 09, 2020
It’s do-over season for Medicare Advantage plans

Members can switch health and drug plans during the annual open enrollment, which runs through March

By Mary Beth Franklin
The SECURE Act and open MEPs: Opportunities and threats for advisers
OPINION JAN 09, 2020
The SECURE Act and open MEPs: Opportunities and threats for advisers

The legislation's green light for open multiple employer plans goes into effect at the start of next year

By Fred Reish
Finra outlines questions firms must answer on Reg BI compliance
ALTERNATIVES JAN 09, 2020
Finra outlines questions firms must answer on Reg BI compliance

Regulator also highlights private placements, digital communications and bank sweeps as priorities

By Mark Schoeff Jr.
Goldman taps former Fidelity exec to grow lending service for RIAs
RIA NEWS JAN 09, 2020
Goldman taps former Fidelity exec to grow lending service for RIAs

Anthony Rochte will take over as head of GS Select

By Ryan W. Neal
David Tittsworth, longtime leader of Investment Adviser Association, dies
RIA NEWS JAN 08, 2020
David Tittsworth, longtime leader of Investment Adviser Association, dies

At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers

By Mark Schoeff Jr.
Advice-sector coalition seeks legislation to expand pass-through deduction to advisers
RIA NEWS JAN 08, 2020
Advice-sector coalition seeks legislation to expand pass-through deduction to advisers

Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’

By Mark Schoeff Jr.
SEC charges barred ‘adviser’ with fraud
REGULATION AND LEGISLATION JAN 08, 2020
SEC charges barred ‘adviser’ with fraud

Thomas Renison, who was barred by the SEC in 2014, raised $6 million in scam

By InvestmentNews
Nationwide offers app helping consumers deal with debt
FINTECH JAN 08, 2020
Nationwide offers app helping consumers deal with debt

‘Owe is me,’ according to Nationwide survey, which shows almost half of Americans are stressed by debt

By InvestmentNews