Industry

After the Schwab-TD merger, rival firms are re-thinking the settlement process, testing new pricing models, and improving advisor efficiency and service. Is David sprinting past Goliath?

One former rep is responsible for more than 80% of the firm’s sales of the defunct LJM Preservation & Growth Fund.

Four months after shutting down, the fintech and some of its employees are joining SEI.

The change will affect continuing education immediately and certification examinations starting in March 2022.

It’s yet another revenue stream that may face pressure after the custodian spawned a race to zero commissions more than a year ago.

The recruit oversaw more than $650 million in client assets while at his former employer.

Advisors are urging clients to make tax-planning moves this year to preserve the preferential capital gains rate and turbocharge business deductions.

Keith Beverly, one of a handful of Black CFP-CFA holders, is pushing to mint more.

Under Clayton, who left the SEC in December, regulators determined Bitcoin and Ether weren’t securities, removing an overhang that could have impeded trading and acceptance of those tokens.

For just $1,000, clients can sign up for the firm’s purely digital automated advice service.