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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The independent RIA looks to the Wall Street stalwart for its expertise in alternative investments.
August 1 -
A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.
July 31 -
The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.
July 26 -
Naratil thinks Lightyear Capital can offer the capital and expertise firms need on their way to IPOs.
July 25 -
The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.
July 24 -
The head of private wealth management in the Americas says he was once skeptical of the idea of the "great wealth transfer." No longer.
July 21 -
Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.
July 20 -
The Wall Street giant struggles amid plans to rely less on its own balance sheet and more on fees from managing others' investments.
July 19 -
The pair of wealth management executives discussed how trends they've unearthed in their first 100 days will exercise great influence on the firm's future plans.
July 18 -
The firm's Wealth at Work division delivered strong results while the private bank stumbled.
July 17 -
The client assets managed by the megabank's wealth management arm climbed by double digits in the second quarter.
July 14 -
The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.
July 13 -
A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.
July 12 -
State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.
July 11 -
Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.
July 11 -
In an 'infinitely rare' move, one member of FINRA's arbitration panel wrote a lengthy dissent noting the ex-employee's extensive training in anti-money laundering measures.
July 10 -
The latest proposed changes tweak criteria that would disqualify firms from having 'residential supervisory locations.'
July 6 -
The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.
July 5 -
The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.
July 3 -
The broker-dealer self-regulator said the shortfall is partly the result of increased spending on staff coupled with a decline in the value of its investment portfolio.
June 30
