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What value will independent broker/dealers be able to offer their advisors in a post-Department of Labor fiduciary world?

There are six Priority Intersections identified in both Priority Letters this year. These are the topics that senior management and compliance officers should focus on.

Institutional wealth management businesses (401(k), 457, 403(b), 529, stock plans, etc.) contain significant assets but are often only seen as recordkeeping / service-based businesses by senior management. For a variety of reasons, many are...

The Department of Labor’s fiduciary rule could create a wave of so-called “orphan accounts” at independent broker/dealers, IBD executives said during the Financial Services Institute's OneVoice conference Tuesday. ...

Is it possible to build a thriving practice with middle-class accounts? These advisors found a way.