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Morgan Stanley loses $250 million team to Raymond James
Raymond James picks up The Broadview Group amid its broader recruitment success this year.
Wells Fargo financial adviser with $350 million in assets skips to Raymond James
The Denver area practice will operate as First Avenue Wealth Partners.
Raymond James recruits three advisers managing $441 million in assets from Merrill Lynch
The hires come as Raymond James gained the most assets under management through adviser recruitment of any financial firm in the third quarter.
SEC to have skeleton crew in first half of 2017
A Securities and Exchange Commission in flux for several months to start 2017 will probably avoid controversial rulemakings…
Apps to help make business travel easier for financial advisers
A little online research can make the difference between a good and bad experience.
LPL sued by Galvin over top producer’s alleged variable annuity abuses
Massachusetts' William Galvin charged the nation's largest independent B-D with failing to supervise a top-producing broker who allegedly committed fraud in selling unsuitable VAs.
RIAs find it easy to justify spending more on technology in 2017
Robo platforms are lifting client expectations.
Advisers may not feel it yet, but downward fee pressure is coming
Fidelity study finds RIA firm revenue yield fell to 69 basis points last year from between 72 and 73 basis points over the prior four years.
Wells Fargo’s FiNet snags two Morgan Stanley advisers with $243 million in client assets
Wells Fargo Advisors Financial Network, or FiNet, snagged two former Morgan Stanley advisers who opened an independent practice.
Mercer Advisors acquires California RIA Fabian Wealth Strategies
The deal pushes Mercer toward $10 billion in assets under management
Envestnet Tamarac rolls out Yodlee app to show outside assets, liabilities
Clients can add values for mortgages, 401(k) accounts and even an art collection into their portal.
How advisers can connect with what’s most important in clients’ lives
Life stage transitions trigger newfound needs and create rare windows of opportunity to engage and win over customers.
Kellyanne Conway gives advisers some lessons from Trump’s victory
Trump's campaign manager said people made the mistake of assuming who the electorate was rather than listening to what the electorate wanted. (Related read: Trump's policies could be tough on emerging markets )
‘Tis the season to get holly, jolly and helpful
For some of us, it’s the most wonderful time of the year. As we prepare to gather with…
Finra bars former JP Morgan, RBC brokers
Both former brokers settled and refused to testify.
Ex-J.P. Turner broker accused of excessive trading in elderly client’s account barred by Finra
The regulator said Anthony Mastroianni Jr. churned an elderly client's account at two different brokerages.
The future of financial planning through fiduciary lenses
There will be a variety of desired and unexpected consequences of the DOL fiduciary rule.
Finra launches extensive sweep of broker-dealer cross-selling
Regulator looking into incentives firms are offering employees to promote bank products of an affiliate or parent company to retail brokerage customers in wake of Wells Fargo scandal.
Broker-dealers are failing to supervise rogue brokers, says Massachusetts regulator William Galvin
Only 6% of reps with checkered backgrounds were placed on heightened supervision by their broker-dealers, according to a new report.
LPL snags $4 billion hybrid from Lincoln Financial Advisors
Integrated Financial Partners has 135 financial advisers and 20 offices around the country. (More: Star broker Ron Carson is leaving LPL to jump to Cetera)
