Edgar Online now allows individuals to receive e-mail alerts of the Securities and Exchange Commission's Edgar reports through a new service called Edgar Online Personal. Located at www.edgar-online.com/personal, the service costs $9.95 a month, although a free trial is available at www.edgar-online.com/trial.asp?src=eolpt. Users can supply up to ten variables, including ticker symbol, industry group, filing type, filing category and geography to define information most important to them.
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As judges have shown in other recent cases involving UBS and Stifel, firms have a high bar to clear if they want an arbitration award vacated.
May 1 -
In an unusual development, LPL saw its advisor total decline slightly in the first quarter. And client assets brought in through advisor recruiting were down 55% year over year.
May 1 -
Still, the number of widows who leave advisors is three times higher than the industry average. It doesn't have to be that bad.
May 1 -
The new money will be used primarily to pay off investors who provided capital when Reverence first bought a majority stake in the former Advisor Group in 2019.
April 30 -
When the same buzzwords — "fiduciary," "holistic," "goals-based," "client-driven" — appear on most wealth firms' websites, they do little to help firms stand out in a crowded market, experts say. There are, however, tactics that work.
April 30 -
The influential planning entrepreneur and the FPA are leading an effort to change a tiered fee structure for continuing education providers that started three years ago.
April 30








