Displaying 8992 results
Robo-advisers sound off to SEC about rule changes for automated advice
Digital-advice firms tell the Securities and Exchange Commission they put clients' interests first and that some regulatory updates are needed as digitization of the industry grows.
Bruton makes first acquisition as CEO of Lucia Capital Group
Derek Bruton didn't waste any time putting his imprint on Lucia Capital Group, striking a deal for the managed equity and fixed-income accounts of West Coast Asset Management, a registered investment advisory firm with $170 million in assets.
Advisers worry about clients leaving them over fees
Though a lot of clients and prospects are asking about fees, what they're actually willing to pay comes down to the adviser's value proposition beyond investments.
Proceed or stand down: Should advisers continue preparing for the DOL fiduciary rule post Trump?
Many brokers and other financial firms have already changed compensation and other policies to align with the regulation. (More: The DOL rule, from all angles.)
JPMorgan Chase will stop charging commissions on IRAs due to DOL fiduciary rule
Clients may choose fee-based or self-directed retirement accounts.
What you can learn from 30 years of stock-picking
Veteran managers from Ariel, Gabelli, Monetta and Pioneer share their lessons.
SEC uses F-Squared saga to drive home due diligence message
Telling advisers to never assume enough is enough when it comes to research.
SEC examiners on hunt for RIA and broker-dealer whistleblower violations
Firms' compliance manuals and contracts will be scrutinized to ensure employee protection.
Advisers managing $1.7 billion move to Noyes from Wells Fargo
Chris and Brian Cooke partner with the 108-year-old firm for strategic expansion.
Donald Trump’s transition team says scrapping Dodd-Frank is job one
Plus: Five ETFs to help you prosper under the Trump administration, Dawn Bennett lands in more hot water, sending the media back to journalism school, and Happy Veterans Day
Election over, advisers plan their next moves with clients
Advisers ready trades and talking points for crushed Clinton supporters
Commonwealth CEO says firm considered SEC criticism in weighing DOL rule strategy
Move to fee-based IRAs gave consideration to SEC's view of other brokerage accounts at firm.
Leadership insights from former President George W. Bush
#43 tells it like it is.
Technology guide for firms that turn to next gen clients
Adviser offers firm's experience building a business within the business for younger investors
How financial advisers going independent are exploiting the broker recruiting protocol
Morgan Stanley could do little but watch as a team of advisers overseeing $2.2 billion in assets quit…
SEC uses big data to make $15-million case against UBS for improper complex products sales
The agency said that for the first time it used a coding technique against a broker-dealer to identify potential unsuitable transactions.
Advisory firms redesign their offices to attract millennial clients
Private offices and cubicles are a thing of the past at modern firms. (Related read: Seven technology trends shaping investments)
What financial advisers can do when clients make mountains out of molehills
Humans are great at projecting way into the future about something that may or may not happen.
Frequently asked questions on the DOL fiduciary rule’s FAQs
The Department of Labor's 24-page document on frequently asked questions on the fiduciary rule inspires even more questions from the advisory industry than it answers.
CFP Board swings for fences with World Series ads
Will the significant expense for the large audience result in a home run or a strikeout for its branding campaign?
