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A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.
February 22
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The commission wants to dramatically reshape the regulatory environment for investment advice in waning months of President Obama's administration.
February 19 -
The Bank of America unit that serves ultrawealthy clients picked up new recruits from Morgan Stanley and Hirtle Callaghan.
February 19
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The exit comes a month after Cetera filed for bankruptcy, and after the IBD said its having trouble with advisor retention.
February 19 -
Voices: Sometimes intimidating but valuable ways to boost referrals find new prospects and build stronger relationships with current clients.
February 19
FMG Suite -
Totum Wealth says its new platform can analyze risk while also creating a custom portfolio. Our tech communist gives it a try.
February 19 -
Janney Montgomery Scott hired six advisors, moving the firm closer to its goal of 50 new recruits this year.
February 19
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Two recruits from Raymond James and Merrill Lynch made the move.
February 18
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Applying for Social Security benefits early doesn't necessarily mean that applicants will receive the benefits early, an advisor explains to 64-year-old widowed client.
February 18 -
Advisor compensation is one of the stickiest problems for firm owners. Ross Lawrence and Greg Hoffman of Hoffman Financial Resources solved it through equity ownership.
February 18
