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What I learned from my first client
“He became very unreasonable.” It soon backfired when adviser Michael Martin bowed to pressure from a client to take on his father-in-law.
New IBD-to-OSJ trend? Cetera lands $820M HBW Partners
Implementation of fiduciary rule could drive more IBDs to seek safe harbor with large partners.
$245M Morgan Stanley team goes independent
The group says it wanted to offer clients greater transparency.
What the tech-averse adviser is missing out on
Planners using the latest digital tools report higher AUM than their colleagues, Fidelity says.
Mutual fund alphabet to lose letters in the fiduciary future
Advisers face fewer choices for clients as both the rule and SEC enforcement roil the market.
CFP Board proposes tightening fiduciary requirements: 'Huge step' or 'double standard'?
Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.
Goldman partner leaving bank's asset management unit
Jim McNamara, head of a business that sells the firm’s mutual funds and ETFs to third parties, will depart after two decades.
Advisers with $270M jump to Steward Partners, citing better tech
The new recruits, who previously worked at Wells Fargo Advisors and Janney Montgomery Scott, also pointed to the firm's affiliation with Raymond James in making the move.
Kitces: Managing clients’ cash cravings
New research suggests we’re hardwired to crave substantial liquid reserves, but advisers can blunt it — if not outright quench it.
$8B breakaway UBS team hit with lawsuit
The wirehouse files for a restraining order in wake of move to Dynasty.
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