Industry

SEC OKs new FINRA general knowledge exam, Putnam's FundVisualizer wins best mobile app award, and HighTower adds a team in Miami.

Referrals, client appreciation events and seminars still dominate advisor marketing tactics. And while most firms do not offer automated investment services, they do not see the "robos" as a threat to their business.

Interviews with more than a dozen current and former employees and people close to the firm paint a portrait of a once-thriving partnership now riven by personal and professional rivalries.

In addition to commissions, advisors should be transparent with clients about other benefits they receive.

Greg Fleming plans to form Rockefeller Capital Management, which will focus on wealth management, asset management and strategic advisory.

There are very few digital leaders in wealth management, Dallas penny stock firm has shares suspended from trading and Working Mother magazine's list of the top 200 financial advisor moms.

Adam Nash is out as Wealthfront CEO, the industry is missing the mark on women and Hightower adds its 11th team this year.

Walter Bettinger discounts robo and digital advice, Vestwell raises $8 million, and Telemus merges with Barrington Strategic Wealth Management.

Clients have an outsized view of expected returns, CFP Board approves Husson University's financial planning degree program and a New Jersey advisor pleads guilty to defrauding a client.