Updated Monday, April 27, 2015 as of 8:05 AM ET
Got a Succession Plan? State Regulators May Soon Require It
The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.
More in RIAs
Both wealth managers, who left UBS, also had a combined $289 million in client assets before making the move, RBC said. more »
After selling Cetera for a rich $1.15 billion, Donald Marron's Lightyear Capital picks up a $4.7 billion hybrid RIA. more »
Striking a balance between the emerging and traditional realms of investing is where Motif Investing sees its niche, says its co-founder and CEO Hardeep Walia. more »
Russell Investments' new app joins the growing crowd of firms offering financial advisors digital tools to explain investment concepts to their clients. more »
New Fidelity research zeroes in on the best practices of RIAs who the custodian identifies as 'marketing leaders.' See what sets them apart. more »
Lee D. Weiss of Family Endowment Partners put millions of client money into a quasi-Ponzi scheme, lawyer says. more »
Couples with nontraditional family relationships need planning that is anything but straightforward, says planner Pamela Sandy. more »
Federal authorities for the first time have directly included rollovers and IRAs in their latest fiduciary standard proposal, and that could have a huge impact on firms in a fast-growing and profitable segment of the retirement savings industry. more »
Multifamily office CEO Joe Votava cites work conflicts and family issues in his decision, while critic suggests the Camarda lawsuit is driving off leaders. more »
The wirehouse lost the team to HighTower, and a former Wedbush executive jumped to a $2.6 billion RIA. See these and other moves in our latest recruiting roundup. more »
The proposed consolidated database would bring together BrokerCheck and IAPD and include data on unregistered financial professionals across the industry. more »
Stifel's CEO says his firm is enlarging its footprint in the independent space because clients are migrating there. more »
New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts. more »
Advisors on the Move: Morgan Stanley Loses $750M Team
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