A new DOL regulation will ratchet up the scrutiny of bundled 401(k) plan fees. You can help your plan sponsors by guiding them through the pros and cons of bundled vs. unbundled services.
CNBC star Jim Cramer may not have liked the valuation of the LPL Investment Holdings IPO, but investors sure did. The happiest people? LPL shareholders who sold off some of their stake in the company, the biggest independent broker/dealer in the...
Financial advisors have been afraid of using social media for fear of invoking the wrath of their compliance department. They shouldn't be, since use of social media is correlated to higher assets under management
Would you buy shares in a financial company that trades at about 40 times trailing earnings (based on Q3 numbers) and boasts (if that’s the right word) a net profit margin of not even 2 percent?
At a time when recruitment activity in the independent broker/dealer channel has slowed, Capital Guardian Wealth Management, a hybrid firm, is undergoing a major growth initiative, with plans to add 15 advisors by year-end as well as several...
Attorneys, compensation experts and recruiters said broker recruiting bonuses would be difficult to regulate, and that if anything, the SEC would most likely require greater disclosure of the practice to clients.
We are in a multi-year bull market for equities, especially emerging market equities, said panelists at Morgan Stanley Smith Barney’s 2011 outlook event Wednesday.
The stock market is now in a “historical sweet spot” following the mid-term elections, Charles Schwab’s chief investment strategist told financial advisors at the IMCA Advanced Wealth Management Conference in San Francisco...
UBS hired three financial advisors with $2.1 billion in client assets away from Morgan Stanley Smith Barney. They will work out of UBS' Los Angeles office.
