Father-and-son duo in Lufkin, Texas, affiliates with B-D and uses RIA platform.
The regulation, expected in December, likely will be contoured to the SEC's new advice standards.
The measure allows small employers to band together to offer plans and raises the RMD age. Another provision eases use of annuities in 401(k)s, which critics say goes too far
Newbridge Securities faces large deficit and negative cash flows.
Three-adviser team creates IronRidge Wealth Management in Basking Ridge, N.J.
Advisers can help with financial triage and encourage clients to avoid rushing into nonurgent decisions.
Commission adds new item to agenda: Interpretation of broker guidance that qualifies as advice
These tools could help advisers improve ROI.
Argent Bridge Advisors, based in Vienna, Va., changes RIA and B-D platforms.
The largest IBD in the country has agreed to buy a small broker-dealer in Florida to kick off the new effort.
Fund will tackle the risks and rewards of buying companies before they go public.
Collective investment trusts also have the potential to fuel a new wave of lawsuits against advisers.
Three-adviser group in Richmond, Va., joins firm's employee unit.
Migration rates in high tax states most affected by tax limits are below pre-recession levels.
Market gyrations put a dent in quarterly VA sales.
Newcomers added in California, Washington and Kansas.
Florida-based Dakota adds Ohio-based, woman-owned firm and $258 million in AUM.
Firm is offering advisers upwards of three times prior year's revenue to move.
William Poynter declined to appear at hearing looking into tuition reimbursements.
Bucking industry trends, North Capital thinks evisor can be a low-cost alternative to existing financial planning tools.
