Updated Saturday, July 12, 2014 as of 7:41 AM ET
Do Independent Advisors Oppose Expected DoL Fiduciary Rule?
As the midterm elections approach and the debate around the Department of Labor's expected fiduciary proposal rages on, advisors will be paying attention to Washington.
A study by the Financial Services Institute on upcoming elections and industry issues showed an overwhelming majority of respondents oppose the DoL's expected rule.   more »
More in Independent BDs
Dalton Strategic Investment Services, a smaller broker-dealer firm with almost $1 billion in client assets, has joined Securities America as a super-OSJ. more »
With the acquisition of broker-dealer McAdams Wright Ragen complete, Baird has grown to more than 800 advisors and $125 billion in assets. more »
Opponents argue that the long time horizon and heated controversy could convince the White House to back away from the retirement plan proposal. more »
Here are the smartest tips and tricks we’ve heard recently. more »
For clients, is one type of firm, business model or fee structure better than another? more »
Clarity in strategic vision and compensation boosts advisor satisfaction, according to a new J.D. Power & Associates study. more »
Lebenthal & Co. said it will exit the municipal public finance underwriting and institutional sales business and shift those resources to its wealth management division. more »
Wells Fargo enticed away an advisor duo managing a combined $1.5 billion from J.P. Morgan. While the grab was a major coup for the wirehouse, several large advisor teams left Wells Fargo and other wirehouse firms to try their turn at independence. Read more about these and other moves in our latest slideshow. more »
A fee-based practice is worth more when larger firms are looking to make an acquisition. more »
Regional wealth manager D.A. Davidson is launching a new training program aimed at bringing recent college graduates into the financial advisor profession. more »
As growth has surged at the nation's biggest independent broker-dealers, a new player has rocked the rankings and raised questions for the industry. more »
With new regulations on the horizon, a top FINRA official highlights the agency's efforts to establish a more flexible oversight regime that will be less of a drain on a practice's resources. more »
Allison Couch's newly created role focuses on sales and distribution strategies across one of the industry's largest broker-dealer networks. more »
Lists
Honoring the Top Branch Managers of 2013

Current Issue

The June Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

Already a subscriber? Log in here