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The key to sustaining your firm's growth  may not be what you think
FINTECH DEC 20, 2018
The key to sustaining your firm's growth may not be what you think

By By Gabriel Garcia, Managing Director, BNY Mellon's Pershing Advisor Solutions
Betterment adding commodities to adviser platform
FINTECH DEC 19, 2018
Betterment adding commodities to adviser platform

The ETF will not be available on the retail Betterment product.

By Ryan W. Neal
UBS Wealth embraces exotic strategies to battle market headwinds
INDUSTRY NEWS DEC 19, 2018
UBS Wealth embraces exotic strategies to battle market headwinds

The strategy draws inspiration from fast-money playbook beloved by hedge funds.

By Bloomberg
William Galvin hits MetLife with $1 million fine for failing to keep track of pensioners
LIFE INSURANCE AND ANNUITIES DEC 19, 2018
William Galvin hits MetLife with $1 million fine for failing to keep track of pensioners

Massachusetts says insurance firm must pay retirees and beneficiaries who were 'presumed dead'

By Mark Schoeff Jr.
SEC slaps Ancora Advisers with $100,000 fine for pay-to-play violations
RIAS DEC 19, 2018
SEC slaps Ancora Advisers with $100,000 fine for pay-to-play violations

Ancora Advisors made political contributions and then provided adviser services to public agencies.

By Bruce Kelly
Calculating Social Security survivor amounts
RETIREMENT PLANNING DEC 19, 2018
Calculating Social Security survivor amounts

What happens to the survivor if a worker dies before claiming benefits?

By Mary Beth Franklin
Growing chasm between rich and poor divides country into two Americas
INDUSTRY NEWS DEC 19, 2018
Growing chasm between rich and poor divides country into two Americas

Here are the areas that have shown the biggest increases in concentration of wealthy households.

By Bloomberg
Wall Street could be facing fewer fines in 2019 as lone SEC Democrat leaves
REGULATION AND LEGISLATION DEC 19, 2018
Wall Street could be facing fewer fines in 2019 as lone SEC Democrat leaves

By Bloomberg
SEC's latest on fiduciary: Advisers can customize individual client agreements
REGULATION AND LEGISLATION DEC 19, 2018
SEC's latest on fiduciary: Advisers can customize individual client agreements

Disclosure and informed consent can limit services, allow third-party pay.

By Mark Schoeff Jr.
New bill links 401(k) matches to student loan payments
RETIREMENT PLANNING DEC 19, 2018
New bill links 401(k) matches to student loan payments

The legislation 'has legs' given that retirement policy debates will be front and center in Congress next year.

By Greg Iacurci
Financial advisers put market volatility in perspective for clients
RIAS DEC 19, 2018
Financial advisers put market volatility in perspective for clients

Absence of Santa Claus rally triggers talk of bear markets and recession.

By Jeff Benjamin
Surging upfront recruiting checks carry significant risks for independent advisers
ALTERNATIVES DEC 19, 2018
Surging upfront recruiting checks carry significant risks for independent advisers

It's crucial for advisers to kick the tires thoroughly on any potential transition, starting with questions about the firm's capabilities, products, support and financials.

By Bloomberg
Welcome to the (client) revolution
OPINION DEC 19, 2018
Welcome to the (client) revolution

How clients are transforming wealth management

By Steve Gresham
SEC charges business journalist, 12 others who sold Woodbridge Ponzi
REGULATION AND LEGISLATION DEC 19, 2018
SEC charges business journalist, 12 others who sold Woodbridge Ponzi

The 13 additional unregistered brokers sold more than $350 million of the Ponzi's notes

By Bruce Kelly
Retirement savings legislation dies in lame-duck Congress
RETIREMENT PLANNING DEC 19, 2018
Retirement savings legislation dies in lame-duck Congress

Proponents hope bill will be re-introduced early next year.

By Mark Schoeff Jr.
LPL loses $325M firm to Commonwealth, picks up $400M firm from Cadaret Grant
RIAS DEC 18, 2018
LPL loses $325M firm to Commonwealth, picks up $400M firm from Cadaret Grant

The loss of Daley Financial Partners will be filled by the addition of Wellesley Financial Planners.

By Ryan W. Neal
SEC, Finra investigating GPB fund raising: sources
ALTERNATIVES DEC 18, 2018
SEC, Finra investigating GPB fund raising: sources

Regulators are making inquiries into GPB and the broker-dealers that sold their fund shares, according to sources.

By Bruce Kelly
Fed hikes are rare when stocks are this battered
EQUITIES DEC 18, 2018
Fed hikes are rare when stocks are this battered

Investors will be watching the Fed's commentary Wednesday to see what policymakers have to say about the market volatility

By Bloomberg
ETrade launches national adviser referral network
RIAS DEC 18, 2018
ETrade launches national adviser referral network

Giving advisers access to millions of retail investors expands the discount brokerage's move into the custodial space.

By Jeff Benjamin
Expanding field of behavioral science provides key insights for advisers
PRACTICE MANAGEMENT DEC 18, 2018
Expanding field of behavioral science provides key insights for advisers

Behavioral finance techniques can help them guide their clients to make not only better investment decisions but healthier financial choices overall.

By Bloomberg