Archive

Registered Rep.: What is driving the record pace of RIA mergers and acquisitions seen in the past few years? David Devoe: The average advisor is 55 years old. About 30 percent are over 60 years old. So, you have folks who started in this business...

An efficient use of time could mean more money gained when it comes to the per diem routine at independent fee-based advisory firms

Industry experts say there are perhaps three important stages to an advisor’s development. Help your junior reps master them, but not all at once.

The rich are getting richer, and more independent when it comes to managing their wads of cash.

Misleading the Military: NASD fined two Fidelity b/ds $400,000 for preparing and distributing misleading sales literature that promoted Fidelity's Destiny I and II Systematic Investment Plans, which were primarily sold to U.S. military personnel.

When regulators play hardball—and lose.

A number of equity funds use dividend capture and call writing to produce fancy yields—but it takes a skilled manager to pull it off

Screen of the Week: This week, Kevin Matras goes over the popular ROE2 strategy. See what items go into this winning screen and get 3 of its newest picks.