Puplava Financial Services joins a wave of independent RIAs moving to larger broker-dealers.
WealthPLAN Partners was with LPL for 27 years.
Financial advisers managing $220 million in client assets joined Raymond James from UBS Financial Services.
Broker-dealer says the additions are part of a continued expansion of their presence in the North and Northwest.
McCullough & Sparks Wealth Management opens office in Kenosha, Wis.
Firms majority owned by women in <i>InvestmentNews</i> study were more likely to be top performers – and to staff more women.
If you're thinking of joining a nonprofit board, pick an organization you care about.
Asset manager takes 36% stake and its ETF models will be made available through the digital platform, which has changed its name.
Most wealth is concentrated among older people, but the great wealth migration to a younger generation is under way.
Plus: The Fed hints yet again, Wunderlich Securities brings in $500M, and Credit Suisse shutters leveraged/inverse oil ETNs
The advisory world is moving toward a fiduciary standard with or without the DOL rule, financial technology firms contend.
Advisers will get loans to help cover earnings shortfall following firm's decision to ban commissions. <b><i>(More: <a href="http://www.investmentnews.com/article/20161101/FREE/161109984/bank-of-america-merrill-lynch-tells-advisers-to-stop-selling-mutual" target="_blank">Merrill tells advisers to stop selling mutual funds in brokerage IRAs</a>)</i></b>
The wirehouse, whose platform will be available next year, joins other big firms jumping into digital advice. <b><i>(More: <a href="//www.investmentnews.com/article/20160524/FREE/160529970/sigfig-raises-40-million-in-funding-led-by-eaton-vance-asserting"" target=""_blank"" rel="noopener noreferrer">SigFig raises $40 million in funding led by Eaton Vance</a>)</b></i>
Because of preconceptions, advisers should think about what they can influence in a first impression to combat any latent bias.
Paul Atkins, chief executive of compliance consultant Patomak Global Partners and a former SEC commissioner, could select from among his coworkers or even recommend himself.
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.
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.
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.
