More in RIAs

  • Oct 7, 2015
    The Daily Brief

    TD Launches Online Tool for RIA Advocacy

    Though independence is one of the defining characteristics of many registered investment advisors, it’s also a challenge to presenting a unified front to regulators in Washington D.C....More
  • Oct 1, 2015

    LPL Adds $135 Million AUM RIA To Hybrid Platform

    Palmetto Investment Consultants will join Independent Advisor Alliance, LPL's hybrid RIA that services the Carolinas....More
  • Sep 10, 2015
    The Daily Brief

    SEC Charges 'Financial Myth Bustin' Host With Fraud

    The Securities and Exchange Commission is charging Dawn Bennett, the founder and CEO of Bennett Group Financial Services, with fraud for “grossly inflating the amount of managed assets and exaggerating the investment returns actually obtained for customers.”...More
  • Sep 8, 2015
    The Daily Brief

    Costs of Starting an RIA

    How much does it really cost to set up a registered investment advisory firm?...More
  • Sep 3, 2015
    The Daily Brief

    New Website Teaches 529 Plans

    September is known as college savings month, and Ascensus College Savings, a 529 plan provider, is marking the occasion by launching, a website to educate families about college savings plans....More
  • Aug 28, 2015

    TD Ameritrade Rings in #FiduciaryFriday

    TD Ameritrade celebrated the 75th anniversary of the Investment Advisers Act of 1940 by ringing in the opening bell at the New York Stock Exchange on Friday....More
  • Aug 27, 2015
    The Daily Brief

    High Frequency Trading Scares Mark Cuban

    Billionaire entrepreneur Mark Cuban says the volatility in the markets is being driven by high frequency trading, which makes it more scary that the 2008 stock market crash....More
  • Aug 11, 2015

    Veteran Wells Fargo Advisor Joins LPL Hybrid RIA

    Michael Palace, a 25-year industry veteran, is leaving Wells Fargo Advisors for an LPL hybrid RIA....More
  • Jul 30, 2015

    Indie Advisors Say DOL Fiduciary Has Minimal Impact

    Almost two thirds of independent advisors say they’re not changing their documentation processes in anticipation of the proposed rule’s implementation, according to a recent flash poll conducted by AdvisoryWorld....More
  • Jul 16, 2015
    The Daily Brief

    The Charitable Giving Arms Race

    Investors have been in a giving mood lately. Grants from Fidelity Charitable and Schwab Charitable donor-advised funds are at record levels, the two firms said Wednesday....More

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