Her position indicates Regulation Best Interest and the larger rule could become final sooner rather than later, but potential litigation looms.
Custodian to shift away from proprietary fintech and focus on adviser-led experiences.
Mattern Capital Management will custody with First Clearing, the operations arm of Wells Fargo.
Insurer partners with DPL Financial's insurance network to distribute annuity products through independent RIAs.
A decade after the custody rule was updated, custody status remains a riddle.
An InvestmentNews survey reveals the extent of assaults and other offenses financial advisers face, and what some industry groups are doing to address it.
Company won't enter businesses that involve "being all things to all people," such as financial advisory branch offices, Nally says.
Firms that increase their fees have virtually the same average retention rate as firms that don't, consultant says.
One essential requirement for being a successful financial adviser is embracing a seamless technology experience and service model, he says.
Wirehouses continued to lose advisers last year, although at a slower pace.
Convertible securities fund to be liquidated because it attracted the wrong kind of investors.
The stock market remains lukewarm on the publicly traded consolidator
Advocates for the measures vow to fight again next year, tout bipartisan support in Congress
Ancora Advisors made political contributions and then provided adviser services to public agencies.
Absence of Santa Claus rally triggers talk of bear markets and recession.
The loss of Daley Financial Partners will be filled by the addition of Wellesley Financial Planners.
Giving advisers access to millions of retail investors expands the discount brokerage's move into the custodial space.
The combined Vanguard U.S. Growth Fund will create a $25 billion large-cap growth portfolio
New account opening process falls short of what advisers call true "straight-through processing" of new accounts.
After a period of decline, the regional brokerage industry is scoring recruiting gains at the expense of wirehouses.
