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A recent study suggests sales of "expensive" VAs fell as a result of the vacated rule. But there are other factors at play, writes Raymond James' Scott Stolz.

Innovation is key in today's dynamic market. Suni Harford, president, asset management at UBS walks us through two significant innovations she drove in the asset management industry this year — including a ground-breaking approach to climate change and sustainable investing.

Genstar Capital Managing Partner Tony Salewski spoke openly with advisors about the firm’s investment strategy for the IBD network.

Renewed recruiting efforts and pumped-up tech are boosting headcount and fee-based assets.

The firm determined that the staffers defrauded the SBA “by making false representations in applying for coronavirus relief funds for themselves.”

The acquisition established a $6 trillion-giant operating as a mutual fund company, RIA custodian, bank, retail brokerage and national wealth management firm.

Among the decade’s worst performers — those with more than $1 billion in assets under management — were a handful of products with stellar short-term returns.

At the center is a pledge not to increase rates on those making less than $400,000, and that various changes would only impact earnings above the threshold.

The additions are expected to include financial advisors and customer service agents, and represent a 15% increase in associates who focus on clients.

Estimates for the deal between the analytics platform and private equity firm LLR Partners go as high as $270 million.

“If insurance and annuities had always been commission free, RIAs would be power users,” says David Lau, CEO of DPL Financial which is partnering with SS&C Advent.

It comes as part of “an unprecedented series of extremely low” annual increases, according to an analyst with the nonpartisan Senior Citizens League.

The group of fee-only practices and networks have 1,187 IARs who manage a combined $95.7 billion.

Flows into U.S. fixed-income products this year have already surpassed the total for all of last year.

Among those leaving is Tom Nally, president of TD Ameritrade’s RIA division. He’d been with the company for 26 years.

The regulator would generate an additional $225 million per year from the fee increases.

The CARES Act will play a critical role, according to Grant Thornton.

Which changes will become permanent? Our latest RIA Leaders ranking points the way.

The No. 1 IBD’s 2,500-advisor bank channel will add 285 more reps when two massive investment programs affiliate next year.

The regulator found that the financial services company failed to take precautions in disposing of hardware that contained sensitive customer information.