Nasdaq announced Monday that it will acquire Dorsey, Wright & Associates LLC, an independent registered investment advisory firm that creates so-called "smart-beta" indexes, for $225 million. The move will make Nasdaq one of the...
With the recent troubles surrounding RCS Capital (RCAP) and its sister company American Realty Capital Properties, many advisors at RCAP broker/dealers are questioning the stability of their parent company. Just this week, RCAP Chairman Nicholas...
Methodology: Advisors on the Top NextGen Independent Broker/Dealer Advisors list are ranked exclusively by total assets under management. To be eligible, advisors had to be under the age of 40 as of Jan. 1, 2015. We solicited nominations from the...
The Best of 2014
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2014 was the year of the robo-advisor and retirement security, according to Lauren Foster on the CFA Institute's Enterprising Investor blog. Foster said that looking forward to 2015, two broad th...
The Certified Financial Planner Board of Standards announced two changes to its certification process on Tuesday that will make it easier for more people to take the CFP exam. ...
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A poll conducted by the Wall Street Journal’s Risk and Compliance Bureau found that Securities and Exchange Commission Chair Mary Jo White was the most feared regulator of 2014, just beating out Benjamin L...
Brokers have long been able to continue selling insurance after being barred or suspended from the securities industry—at least until insurance regulators got wind of it. But it looks as though they may get wind of it even sooner. The Financial I...
