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Custodians/Fee Only

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Industry Groups Predict DOL Rule Will Fail Again In Court

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The agency is merely repackaging its vacated 2016 fiduciary rule, the Financial Services Institute argued.

Mariner Wealth Acquires $360M AUM Sacramento Firm

by FA Staff

Confluence Financial Planning is the 15th location in California for the Overland, Kansas-based firm.

Schwab Self-Directed 401(k) Account Balances Fell 9.2% In Q3

by FA Staff

But the average ending balance of $287,769 represents a 5.3% year-over-year increase.

N.Y. Advisor Team With $200 AUM Joins LPL

by FA Staff

Mark Hills and Uri "Chip" Doolittle V of Manilius, N.Y., were previously with Osaic.

Trade Groups Tell DOL To Withdraw Proposed Fiduciary Rule

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Unions and consumer groups argue rule is needed to weed out costly conflicts.

LPL Adds N.Y.-Area Advisors With $130M AUM

by FA Staff

Oak Tree Financial Group has offices in Connecticut, New York and New Jersey.

$230M AUM N.Y. Advisor Joins LPL From Ameriprise

by FA Staff

Demetrios Paraskevopoulos of Mineola, N.Y. joined LPL to pivot his business towards a more entrepreneurial approach.

TD Cuts Thousands Of Jobs, Takes Restructuring Charge; Earnings Miss

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The layoffs will come through attrition as well as targeted cuts, the bank said.

$170M AUM Advisor Joins Raymond James From Edward Jones

by FA Staff

Cole Wilson joins Stamford, Texas-based Raymond James Financial Services affiliate Decker Capital Partners.

Edelman Financial Engines Acquires $500M AUM Mass. Firm

by FA Staff

PRW Wealth Management marks the fifth transaction for Edelman Financial Engines in 13 months.

Biden Threatens To Veto Bill That Would Derail DOL Fiduciary Rule

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The bill passed the House with amendments to weaken or derail the proposal.

Focus On Business Goals As M&A Slows, Schwab Says

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Firms that have not yet optimized their M&A strategy and approach to integration often face a steep learning curve.

Why RIA Firms Could Start Looking More Like Wirehouses

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All year we've been covering the changing of the guard in the advisory profession, and this issue's cover story continues exploring that topic.

Schwab Lays Off Up To 2,000 Employees, Reports Say

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The company signaled its intention to eliminate jobs in an SEC filing this past summer.

Schwab Executives Offer Mea Culpa To Advisors Over TD Ameritrade Conversion Snafus

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At the annual IMPACT conference, Schwab's execs acknowledged the rocky onboarding of accounts.

RIAs Get A New Custody-Clearing Option

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Innovayte was created from a merger of two Equity Trust divisions.

Fidelity Says It Increased Women Clients By 48% Since 2019

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The increase was particularly strong among young age groups, the company said.

Schwab's Net Interest Revenue Falls 24% From Client Cash Moves

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The Fed's interest rate hikes over the past year and a half have pressured Schwab's banking arm.

Advisors: Be Careful Charging Clients To Keep Cash In Low-Interest Sweep Accounts

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One consultant said he has seen advisors charge clients advisory fees that are higher than what they earn in these idle accounts.

This RIA Platform Offers Advisors A Home For Their Clients' Cash

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Flourish says its advisor tools allow clients to earn more on their reserve savings.

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