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Titles advisers use to play a bigger role in fiduciary regulation
Even opponents of the DOL rule appear to be zeroing in on titles that cause confusion with the investing public.
Raymond James recruits Oregon adviser from Morgan Stanley
Veteran adviser manages $170 million in client assets.
SEC clarifies how funds should disclose fee changes to comply with DOL fiduciary rule
The agency's Division of Investment Management provides guidance on how to communicate changes to sales loads that level compensation for brokers.
Retirement coaching could improve post-career happiness
Conversations about work and personal fulfillment may lead clients to more successful retirements
Cetera broker-dealer hit with $1.1 million in fines and restitution over sales of unit investment trusts
Investors Capital is in the process of closing down and moving its advisers to another Cetera firm.
Younger investors most willing to pay for financial advice: Cerulli
While more investors overall are willing to pay for financial advice today, 79% of those aged 30 to 39 are interested in paying for financial help, according to a recent study.
Office of Management and Budget reviewing proposed exemption under DOL fiduciary rule for some indexed annuity distributors
Some indexed annuity distributors are poised to get a shot in the arm from the proposal, which would make it easier for independent agents to sell the annuities under the rule.
Finra slaps Allstate Financial with $1 million fine for array of fumbles
The regulator cited a broad breakdown with the firm's failures to supervise client and adviser information.
Wells Fargo eliminates bonuses for advisers selling banking products
Months after its parent bank Wells Fargo & Co. was hit with a $185 million fine for opening…
Aspiriant’s focus on scale and aggregation makes it a top-tier RIA consolidator
CEO Rob Francais turns RIA sellers into owners
Veteran PNC Wealth Management rep goes independent
$300M adviser launches firm in Naples, Fla., to serve affluent individuals and families.
Aspiriant picks up $850M Silicon Valley RIA
Firm's `100-year-plan' includes future deals in March and June, says CEO Rob Francais.
From the C-Suite with Cambridge’s Amy Webber: Empowering others to demand improvements
The president of Cambridge Investment Research discusses the culture she is working to foster at the firm and the leadership lessons she has learned.
Finding the Right Ecosystem
The rise of companies utilizing financial technology (fintech) over the past five years can no longer be ignored…
Amy Webber to replace Eric Schwartz as CEO of Cambridge Investment Research
Amy Webber will become the firm's new chief executive, while Mr. Schwartz takes on the role of executive chairman.
Why This May Be the Right Time to Sell Your Practice
https://www.investmentnews.com/wp-content/uploads/assets/graphics src=”/wp-content/uploads2016/12/CI1084411222.JPG” There’s no more daunting task than creating a succession plan for…
Top reasons for independent advisers to consider a merger instead of an acquisition
Mergers can represent a very useful strategic path where the owner of the merged entity becomes part owner in the surviving entity.
More than 1/4 of financial advisers plan to exit industry or merge firms: survey
Financial advisers are feeling heightened pressure from regulators and clients, Natixis finds.
Advisers can help clients keep their 2017 financial resolutions
Keep money goals in line with reality and encourage clients along their journey
How financial advisers can get unstuck in the New Year
Take time to work on your business, as well as in your business, and the coming year could be more pleasant that the last.
