Portfolio

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

In about 30% of large companies, seniors can opt to work part-time or engage in job sharing with co-workers.

Plus, Benjamin F. Edwards and Ameriprise each add recruits with more than $600M in combined AUM, and Morgan loses a $500M group.

How many women advisers work for the leading independent broker-dealers?

The IRS has proposed regulations that could reduce or eliminate valuation discounts for the wealthy by the end of the year.

Plan sponsors are open to the addition, but most participants aren’t taking advantage of it.

The advisers, one of whom is a former football coach, are among the first to join the wirehouse since UBS unveiled sweeping changes to its comp plan.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

The veteran wirehouse recruit has 34 years of industry experience.

Planners need to understand the needs and goals of athletes, and parlay those insights into a plan.