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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LPL accuses its rival of hindering "competition in the financial services space" through its "cynical" attempts at frightening advisors into staying put.
June 25 -
The Atlanta-based independent broker-dealer thinks some advisors will always feel ill at ease at big firms that keep getting bigger. That's where it sees its opportunity.
June 24 -
The latest legal challenge to the firm's "cash sweeps" policies argues advisors violated their fiduciary duties by not procuring higher yields for clients.
June 20 -
An industry recruiter notes that many wealth managers who switch firms receive money from their new employer to cover forfeited deferred compensation.
June 18 -
Recent research may suggest private credit doesn't produce great returns after fees and risks are taken into account, but wealth managers still see a case for using it and other alternatives to move beyond the 60-40 portfolio.
June 18 -
Survey results suggest alternative investments like private equity and private credit are already popular among advisors and becoming only more popular.
June 18 -
The founder of the private-equity backed RIA says he's interested in further acquisitions but doesn't want to be "growing for growth's sake."
June 17 -
Yext's CEO said his firm could have tried building its own in-house compliance software. Instead, it found exactly what it needed at Hearsay Systems.
June 14 -
Sources familiar with the case say Nicholas Takahashi's name surfaced on a Wells Fargo website long after he had left to work for a competitor.
June 13 -
Like its Wall Street rival Morgan Stanley, Citi sees a path to trillions in client assets in its workplace division.
June 12
