Only custodial clients with $75 million or more in AUM will receive an invitation.
Addition of three veteran advisers brings Baird's 2018 recruiting count to 40.
If other insurers also start to terminate VA trail commissions, brokers might opt to take upfront sales commissions instead and start churning their clients' annuities.
Annual meeting includes new harassment policy aimed at avoiding uncomfortable situations.
Melvin Wimmer was also ordered to pay more than $3 million in restitution to clients.
Purchase of Rand & Associates gives 1919 Investment Counsel a physical presence on the West Coast.
Five deals in five months lift the fledgling hybrid RIA to $5.5 billion.
Deal for Loring Ward Holdings is one of the largest transactions in Focus' history, company's chairman and CEO said
Yields on money market funds, short-term CDs and other cash accounts have risen as the Fed continues to raise interest rates, and this has big implications for advisers.
Membership is growing by leaps and bounds.
The agency charged the adviser with lying to dozens of investors about returns.
New Jersey is the first state to take action on a fiduciary rule after the DOL rule's death, but experts think other states will likely jump on board.
Investors are a diverse bunch, which should guide the way advisers prospect for clients and deliver recommendations.
Combined financial planning operation gives the firm an expanded footprint in the San Francisco area.
Wesley Kyle Perkins and Priscilla Gilmore Perkins, husband and wife owners of World Tree Financial, allegedly benefited themselves by handpicking the most profitable trades.
SEC issues cease-and-desist order; Kansas-based RIA and Peter A. Mallouk required to pay civil penalties.
Bellingham, Wash.-based Multop Financial founder cites technology and back-office support as drivers behind the move
Captrust wants to grow annual revenue from wealth management to 50% from 30% over the next five years.
Advisers looking for more freedom may find going independent on their own is not as fulfilling as partnering with an existing independent firm.
Disclosing behavioral biases is voluntary, but no less important than making the required disclosures.
