-
Silicon Valley-based Addepar says it is in talks with other wirehouses for use of its software, too.
January 10
-
Shannon Pike will concentrate on bridging adviser communities.
January 9
-
The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.
January 9
-
That's just one solution among several that will help prepare your firm for success now and in the future, columnist Bob Veres says.
January 9
-
Exclusive: Advice Period, the newest RIA platform model, offers star power and IBD qualities. Is it enough?
January 9
-
Financial Planning’s 6th annual RIA Leaders ranking revealed a startling trend.
January 8
-
Advisers will create strategies and communicate the advice. Software will handle the execution and maintenance of the strategies.
January 5
-
With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.
January 4
-
High-value targets include client names and account numbers. Protecting the information can also protect an advisory practice from regulatory penalties.
January 4
-
The new recruit, who started with the wirehouse's predecessor firm Smith Barney, has been in the industry since the late 1990s.
January 4
