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The new recruits join from RBC and Wells Fargo Advisors.
October 6
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The long-serving executive will step down Jan. 1.
October 6
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Wide adoption by global money managers and ETFs could set off a new wave of buying, according to Morningstar.
October 6
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The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.
October 5
Bloomberg -
Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.
October 5
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Life insurance will become more attractive to sell in the post-fiduciary world because it is one of the few products not encumbered by the regulation.
October 5
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Reuben Rashty will lead Mirador Family Wealth Advisors. He succeeds Glen Johnson, who will transition to a new leadership role.
October 5
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Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.
October 5
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The long-running battle by two CFPs against the board comes to an abrupt end.
October 4
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Keith Rowling rejoined this elite group for a second year in a row.
October 4
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The funds have had the fastest growth since 2012, with nearly $100 billion of inflows, helped by record emerging-market investments.
October 4
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See which independent broker-dealers are beating their larger competitors in attracting new client assets.
October 4
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After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.
October 4
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A father, son and daughter leave the wirehouse to form their own business.
October 4
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“It will help them cope with some of the new burdens that the fiduciary requirement will impose on firms,” an industry analyst says.
October 4
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While the fiduciary rule was cited as a positive, problems mentioned by Bogle included the incentive for companies to be “very stingy” with pension contributions since they come out of earnings.
October 3
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A firm contest incentivized about 30 advisers to push lending products to clients and created conflicts of interest, according to officials.
October 3
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Merrill Lynch's Stephen Stabile and others are using behavioral finance tools to make better plans for clients.
October 3
