Credit Suisse

Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.

The Ariel Investments president is an advocate for the increasing the number of women and minorities in boardrooms.

Managers in the space have been raising cash at their fastest pace since 2013.

With bonuses, which can account for half of total pay, the average pay for a North American family office CEO totaled $631,000.

Energy was likely a “headwind,” analysts wrote.

Collectively, this year’s mega movers managed more than $23 billion in client assets.

Stephens recruited an executive with more than 30 years experience, whose career includes stops at Wells Fargo, Credit Suisse, Lehman Brothers, PaineWebber and Merrill Lynch.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.