Most Recent Blog Posts

Dec 13, 2013

Safeguarding Client Data a Must for Advisors

  Cyber crimes are pervasive these days and advisors especially are under siege from criminals looking to gain access to client funds. At....More
Dec 11, 2013

Investment Advisors up Against Odds with Future Rules

Investment advisors could be looking at a future filled with broker-type rules and FINRA oversight, according to a panel in a somewhat gloom....More
Dec 05, 2013

Former TDA Exec Joins Vestorly

Former TD Ameritrade Institutional managing director Zohar Swaine has joined Vestorly, a digital content sharing platform, as strategic advisor and....More
Nov 13, 2013

Former Schwab Advisors Protest Termination Policy at IMPACT

A small group of former Schwab independent advisors protested the firm’s termination policy earlier this week outside of the firm’s annual IMPACT....More
Nov 12, 2013

Live from IMPACT: Five Ways to Be a More Effective Seller

We're all in sales now, says author Dan Pink at Schwab's IMPACT conference. So here are five ways to be a more effective salesperson....More
Oct 30, 2013

Ameriprise Headcount Down Amid Record Profitability

Ameriprise's advisor headcount is down on a sequential and annual basis, but its advice and wealth management is still dominating the firm's growth....More
Oct 20, 2013

The $5 Trillion Opportunity for RIAs

The private defined contribution market is largely a market that is untapped by financial advisors, yet it’s projected to grow 5.85 percent by 2020,....More
Oct 02, 2013

Expect Another Deal From Schorsch in the Next Couple Weeks

Nicholas Schorsch, head of American Realty Capital and the fast-growing RCS Capital Corporation (RCAP), plans to announce another acquisition in the....More
Sep 26, 2013

Want to Get to $1 Billion? Hire an Associate Advisor, COO

Firms that hire an associate advisor and a dedicated manager earn more and grow their client base faster, according to an analysis by TD Ameritrade....More
Sep 25, 2013

It's Official: RCAP's Schorsch Owns First Allied

After announcing the big plan earlier this summer to much fanfare, it's official: American Realty Capital's Nick Schorsch has acquired independent....More
Sep 05, 2013

Advisor Group Chief Jumps Ship

Larry Roth, head of AIG’s Advisor Group, a network of 6,000 advisors, has jumped ship to Realty Capital Securities, the broker/dealer and wholesale....More
Jul 18, 2013

A Positive Sign for Small IBDs: Prospera on the Acquisition Trail

Amid questions about the sustainability of the independent broker/dealer business, one small IBD is bucking the trend....More
Jul 01, 2013

The Small Broker/Dealer Is Not Dead…Yet

Despite talk of the demise of the small b/d, fewer firms are closing up shop compared to this time last year....More
Jun 12, 2013

Sold: RCAP to Purchase First Allied

The sister company of American Realty Capital has announced its purchase of First Allied Holdings, encompassing $32 billion in assets and 1,500....More
May 30, 2013

Three Shades of HighTower

With its two new models, HighTower Advisors—the raider of the wirehouse ark—is now branching out to attract advisors who have already gone....More
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