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Custodians/Fee Only

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Forgivable Loan Offers Can Be Expensive

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Down the road, you might end up paying a bigger price for this recruitment perk than you expected.

How Advisors Can Avoid Getting Sacked By Heirs

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Studies say young adults are prone to firing their parents' advisors. But this advisor says it doesn't have to be that way.

Alarming Amounts Of Money Are Leaving Retirement Plans, Says Morningstar

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That decrease cuts the leverage that retirement plan sponsors have in negotiating with asset managers.

CFP Board Issues Three New Guides For CFP Licensees

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The Certified Financial Planner Board of Standards Inc., headquartered in Washington, D.C...

Back Offices In Transition

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Word has it that some of Wall Street's most sophisticated institutional brokerage firms are discovering that competing with the big IBDs and custodians is a lot harder than they imagined.

Edward Johnson III, Fund Pioneer At Fidelity, Dies At 91

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Johnson pioneered the sale of mutual funds directly to individual investors rather than through brokers.

Fidelity Launches Business Mimicking Hedge-Fund Strategies

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The new unit is part of Fidelity's push to expand its alternative investment capabilities.

Advisors Who Connect Monthly With Clients See 56% More Revenue, Consultant Claims

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Creating a meaningful client experience drives news business, consultant Richard Beckel says.

Broad Consumer Coalition Urges DOL To Speed Up Fiduciary Rule Update

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The carve-outs for financial “education” and lack of a monitoring need revision, the group says.

TD Profit Tops Analysts' Estimates As Canadian Loans Grow

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Toronto-Dominion has staked much of its future on expanding its U.S. retail-banking business.

SEC Charges Delaware Advisor With Cherry-Picking Scheme

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The advisor allocated losing trades with clients while she and her family benefited from profitable trades, the regulator said.

TD To Buy First Horizon In A $13.4 Billion U.S. Expansion

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The deal would be Toronto-Dominion's largest acquisition ever.

What To Focus On When Recruiting

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There are three core reasons advisory firms recruit: to fill a role, to increase profitability or to plan for succession.

Should Advisors Negotiate On Price?

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Sometimes discounting is necessary to win business. You should have a strategy.

TD Bank Expands Benefit Offerings In Fight For Financial Talent

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The bank is now offering coverage for child daycare, elder care and fertility and reproductive treatments.

'Advisor' Accused Of Bilking Seniors Of Millions Through Gold, Silver Coin Sales

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The SEC said a California man sold coins at huge markups to mostly elderly investors.

Look To The Stars

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The top advisors in your firm are going to be bringing in most of your results. You should give them your attention and focus.

37% Of Schwab, TD Advisors Say Finding Talent Is A Problem

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The Schwab survey also found that advisors are looking outside their own industry for new hires.

CFP Board Sanctions 20 Financial Planners

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Three advisors were permanently barred from using the CFP mark, and four had their certification rights revoked.

Is SEC Telling Advisors Not To Call Themselves Fiduciaries In Relationship Summaries?

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Industry attorneys say advisors and compliance experts are confused by the SEC's guidelines.

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