Organization Root Tag

If you do not fully understand the regulations, you’re not alone.

The firm alleges the advisors violated a non-solicitation contract, which they have denied doing.

The fully-independent channel remain a competitive threat to IBDs attempting to retain top advisors while dealing with lost revenue.

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

Although its fees are higher than other thematic offerings, similar products from Ark Investment Management have outpaced their peers. Plus; other launches.

New actively managed municipal bond ETFs from the firm have attracted $50 million in assets since their inception in October.

Distributors may be demanding more support in the areas of investor education, risk management and governance.

The broker is the fifth advisor this month to part ways with Raymond James.

The broker-dealer alleges Jason Kirkland violated company policy, used confidential information and broke his 12-month non-solicitation agreement, among other claims.

Clients who buy and hold the products in their retirement accounts may get a nasty surprise, said one of the SEC’s five commissioners.

Its purchase includes the manager’s mutual fund and ETF businesses.

Digital firms are boosting features to stay competitive in a crowded advisor-tech marketplace.

'Know which problems you are trying to solve,' says InlVest speaker Kabir Sethi.

Bob Oros is a leading candidate to head the RIA, but he, or any other successor, will be under “super pressure” from the firm’s owners.

Recently, higher interest rates and stock market volatility have undermined gains.

The company's head count has expanded by 43 advisors in the past year.

Clients on the hunt for a new home may find they have more leverage at the negotiating table.

Brokerage firms have been filing more lawsuits against former employees over alleged violations of non-solicitation agreements.

The firm “has experienced a successful streak of recruiting over the last two years, adding more than 100 experienced financial advisors during that period,” says President Jerry Lombard.

Some were unable to access the firm’s website while the S&P 500 experienced its worst decline in nine months.