Industry
SEI Advisor Network Added 400 RIAs With $5 Billion In AUM
Outsourced wealth management and backoffice vendor SEI attributes its success in signing up another 406 advisors last year -- a record -- to its value-added practice management platform.
Morgan Stanley Flirting With Dropping The Smith Barney Name
There are strong hints that a Wall Street brand with roots going back to 1873 may be ready for the history books.
Tenth Circuit Court Of Appeals Exempts "Loss Leader" Advice From Fiduciary Rules
Underreported: An appellate court has upheld an earlier ruling that as long as clients are not charged separately for financial advice, the "advisors" aren't subject to fiduciary rules.
Investors Capital Founder Heads For A $19 Million Exit ... But Who's The Buyer?
Ted Charles, founder of Massachusetts broker-dealer Investors Capital, has filed the paperwork to unwind his entire 55% stake in the company he built into a 500-rep kingdom -- at a discount.
The FPA Is Collecting Definitions Of Just What "Financial Planning" Really Entails - Weigh In!
The CFP Board curriculum is well defined, but beyond that, the boundaries of "financial planning" are vague if not actively slippery. The FPA aims to fix that.
More Articles ...
- Sallie Krawcheck Welcomes Competition From RIAs, Independent Broker-Dealers
- Research Roundup: What The Rise Of The $1.7 Trillion RIA Channel Means
- Senator Durbin Leads Fight In Congress To Restore SEC Budget Request
- SEC Divided On Incentive-Based Pay Disclosure; Schapiro Fears Unintended Consequences
