Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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In an earnings call, LPL's CEO said his efforts to woo Commonwealth advisors have extended to a "rain-soaked" bike ride and wine-tasting tour.
May 9 -
CEO Tony Miller thinks the financial backing Janney draws from the private equity firm KKR allows it to provide a full gamut of advisor support without losing its intimate feel.
May 8 -
Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.
May 7 -
After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.
May 7 -
Industry trackers see Raymond James' proposal to buy minority stakes in its independent affiliates as a good way to reinvest while also warding off outside competition.
May 6 -
The CEO of Summit Wealth said that even before LPL announced its acquisition deal, he and his colleagues were already finding Commonwealth too big for their liking.
May 5 -
Also this week, Focus Financial ups the responsibilities for some top executives and Advisor Asset Management appoints a new CEO.
May 2 -
Could an economic downturn slow the industry's record-setting pace of acquisition deals? Sure, experts say, but not by much.
May 1 -
Industry experts say Edward Jones was at risk of being left behind if it didn't offer access to investments that are becoming 'table stakes' for large wealth managers.
April 30 -
UBS' Americas unit benefited from a swift uptick in client transactions in April, but that activity has since subsided, CEO Sergio Ermotti told analysts.
April 30
