Like many aspects of the financial-regulatory-reform legislation that became law July 21, the provision that increases the threshold for state regulation of investment advisers doesn't go into effect for another year.
State securities regulators are meeting next week to begin planning for the examinations of more than 3,000 investment advisers expected to come under their jurisdiction next year.
The College for Financial Planning is offering a new designation — accredited domestic partnership adviser — for planners who work with gay, lesbian, bisexual and transgender couples.
A new rule aimed at making the financial advisory business more understandable to clients is giving advisers a headache.
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers, according to <i>InvestmentNews</i> data.
A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.
The National Association of Personal Financial Advisors is moving its May national conference to Salt Lake City from Las Vegas, where it was originally scheduled.
Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year. That's what they're telling their clients, too.
Raymond James Investment Advisors has landed a $150 million in assets team from RBC Wealth Management.
Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.
Most registered investment advisers had a solid 2010 — they expanded their businesses, added clients and were even able to bump up their budgets a bit. Their feelings for the future, however, are not quite as fond.
As Fidelity continues to focus on luring breakaway brokers, a top executive at the firm noted specifically that the company is zeroing in on the very top-producing teams at wirehouses.
Pledges run the gamut from practical to whimsical; taxation, meditation mentioned
