Captrust executives discussed with WealthManagement.com their M&A strategy to bring institutional retirement services and a full-service wealth management firm under one roof.
Ashby Daniels discusses how he navigated the noncompete and nonsolicit agreement he had with the broker/dealer he left to eventually win back at least a subset of his prior clients.
Panelists at a roundtable co-hosted by the SEC and FINRA spoke about their initial observations of how Regulation Best Interest compliance has gone since the rule's implementation earlier this year.
After receiving backlash from the fee-only community for removing the advisor compensation feature from its website, the CFP Board announced it was building a new one.
The proposed rules follow revisions made by the National Association of Insurance Commissioners to its model annuity suitability regulations, designed to align with the SEC's Reg BI standard. Critics say the rules aren't strict enough.
