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The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.
November 8
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The merged operation will be run by someone yet to be named who will report to Jon Weiss, head of wealth and investment management.
November 8
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New COO is pitching firm’s name, platform — and capital.
November 8
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The announcement of the firm’s new name ends speculation that one of the best-known brands in the fast-growing RIA space might disappear.
November 8
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The back-office staff and asset-management division bore the brunt of a decline in the overall size in the class.
November 8
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The 4,300-advisor network is investing in insurance distribution after benefiting from rising interest rates and record client assets.
November 7
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The market can't go up indefinitely, says Facet Wealth CEO Anders Jones, who predicts RIAs looking to fund growth-by-acquisition might find themselves cut off.
November 7
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To sway a federal judge, both sides have tried to bolster their arguments by pointing to Facebook, joint production agreements, news articles and more.
November 7
- To win over advisors, don't force tech changes: Q&A with In|Vest speaker, HD Vest's Crystal Clifford
Despite the IBD converting much of its technology, HD Vest's COO says the process has been less painful because its planners are supportive of the changes.
November 7
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Independent Neal Simon was overwhelmed by a popular Democratic incumbent.
November 7
