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The firm grabbed a team with $2.5 million in production for its independent broker-dealer channel.
March 11 -
Advisors and clients are gravitating toward the RIA model -- a trend that experts expect to continue.
March 10 -
RCS Capital is following through on its promise to launch a research division with the hiring of two non-traded investments analysts.
March 10 -
The commission is committed to moving forward on a uniform fiduciary standard for advisors and broker-dealers and also expects to finalize money market reforms by the end of the year.
March 10 -
LPL Financial says the pace of new advisors affiliating with the firm has slowed from the levels of late 2013 "in part due to disruptive weather."
March 7 -
In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief.
March 7 -
Raymond James is on a recruiting spree, poaching million-dollar teams from Merrill Lynch and Wells Fargo, and now grabbing a UBS team with $1.9 million in production for the company's Charlotte, N.C., office.
March 7 -
Unity Bank, a subsidiary of Unity Bancorp, has opened a new division that will offer a wide range of investment products and services aimed at helping customers to grow and preserve wealth.
March 7 -
The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.
March 6 -
Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?
March 6
