Practice

The hybrid RIA firm says it chose LPL after a 'Bachelor'-style bakeoff.

Orion’s accounting and performance review software provides SWS advisors with performance dashboard.

SEC chairman Mary L. Schapiro said there is not a substantive effort to review the agency’s “clearly erroneous” trade rules, even though Knight Capital took $457.6 million in losses after a flood of erroneous trades on August 1.

Marc Jimenez, former regional director for Dimensional Funds, a $240 billion mutual fund family, has joined Cambridge Southern Financial Advisors to run the firm’s new Denver office.

Principal Funds’ president and CEO Nora Everett has been elected to the Investment Company Institute's Board of Governors.

Raymond James Executive Chairman Thomas James said he is optimistic that the financial services industry can work more closely with regulators, even as evolving regulations such as a uniform fiduciary standard and the Volcker Rule have started off with the wrong approach.

Advisors all desire employees who know what you want even before you speak. While these type of people are typically a needle in a haystack, there are ways to optimize the staff you have already.

Wall Street may still be in love with complex financial instruments, but more and more investors are choosing a simpler, more prudent way to invest, and Steve Atkinson explain that that is why the assets under management with independent wealth advisors continues to grow.

Though advisors are increasingly on social platforms, bringing financial goal setting to the social media sphere probably won’t change the way clients interact with their advisors. Will it instead help those who aren’t working with advisors start thinking about their finances?

Raymond James executive Chet Helck called for a year of working to restore public trust and confidence in the financial services industry, economy and nation at the Securities Industry and Financial Markets Association annual conference on Tuesday.