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How does a firm with more than $1 billion in assets continue to grow?
State sanctions against registered investment advisors were up slightly in 2013, while penalties against brokers surged 39 percent, the Nasaa said.
Grand Rapids, Mich.-based StreamSong Advisors is a newly formed independent advisory firm focusing on high-net-worth investors.
Brian Stimpfl joins Scottrade as senior vice president of program strategy and operations.
Mergers and acquisitions are still going strong, Schwab says, even though many financial advisor firm owners are leaning toward internal succession plans.
New players have powerful offerings to take work off your hands.
TD Ameritrade is working on a policy to return fees to managed account clients who lose money.
Based in Brookfield, Wis., Freedom Wealth Alliance is a newly launched, independent, hybrid RIA firm that manages $225 million.
The Financial Advocacy Network supports four independent advisory practices with a total of approximately $450 million in client assets.
Triad Advisors has a new platform to assist fee- and commission-based independent financial advisors with regulatory and compliance issues.
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Portfolio Manager Insights
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Many advisors want to grow, but often they stall out. Here's how they can get the momentum going again. + Read more