Industry

Lagging rival broker dealers, the firm recruited the president of RIA firm Priority Financial Group to lead the financial institutions division.

Some brokerage firms are concerned that the tax overhaul could spur their employee advisors to set up their own shops or switch firms to lower their tax bills.

In a concession to the advisor, he can still respond to client emails and calls, even though he may not initiate contact.

Regular meetings can yield honest client feedback and advice on nearly everything about your firm. But it’s not as easy as just asking a few people to join you for coffee.

The change builds on earlier policy shifts at Ameriprise, which previously pulled more than 1,500 funds from its platform.

Roughly 300 ex-NPH advisors have chosen smaller IBDs over LPL Financial after its massive acquisition.

When choosing their next employer, advisors resist a digital downgrade.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

Broadridge Financial follows Invesco to the Canadian digital advice market.

Nearly two dozen mega teams switched employers, but few went to a wirehouse.