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YOUR BUSINESS

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Snowden Opens First Florida Office, Staffed With $344M Merrill Lynch Teams

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Snowden Lane Partners, a hybrid RIA headquartered in New York City, is expanding to Florida.

SEC Judgment Brings Cape Cod Hybrid Advisor’s Six-Year Fraud Spree To A Close

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She was sentenced to 87 months in prison, must pay $3 million restitution.

401(k) Plan Participants Consider Themselves Savers, Not Investors

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Many are not investing enough to reach the $1.7 million goal they believe is needed for retirement, Schwab says.

RIAs Find Differentiating Themselves An Uphill Battle Post SEC's Reg BI

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Experts worry SEC’s “best interest” boilerplate makes RIAs and brokers look identical.

$136M Military RIAs Switch Super OSJs, Stay With LPL Platforms

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Three advisory teams led by Air Force and Navy veteran officers are switching their Super OSJ affiliation.

Ladenburg Thalman Launches Women’s, Next-Gen Diversity Initiatives

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It aims to help women, millennials and a new generation of financial advisors.

A Ponzi Scheme, A Retiree And A Revolt Against OppenheimerFunds

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A former Maryland lawmaker is now leading an unusual community tax revolt against OppenheimerFunds.

Fidelity, Merchant Team To Provide RIAs With M&A Financing

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The alliance will provide Fidelity's RIA clients with access to discounted loan origination fees.

5 Profitable Truths For Financial Advisors Ready To Grow Online

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The financial industry is lagging behind when it comes to maximizing leads through online marketing.

Here Are The Ways Your Client Can Turn Into A Tax Cheat

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There's a small percentage of taxpayers out there who think cheating is just fine.

Your AUM Number Isn’t Enough To Measure Growth

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Incorporating these three steps into your business strategy can help you choose the right path to growth.

How One Firm Sees Millennials And Gen Z Disrupting Markets

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The changing preferences of generations won’t be good for every company.

Fiduciary Debate Might Shift To States

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TD Ameritrade executives said they're concerned about facing 52 different standards for advisors and brokers.

Model Portfolio Use Surges Among Advisors, Survey Says

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A large majority of advisors use them in their practices, a new survey says.

New Arizona Law Protects Financially Vulnerable Seniors

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The FPA of Greater Phoenix advocated for an Arizona statute that helps protect seniors from financial abuse.

Young Adults: You Can Go Back Home

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TD Ameritrade survey reveals that more young Americans are looking to save money by moving in with their parents.

Maxine Waters Calls On SEC To Rescind Reg BI Retail Advice Rules

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One day after passage, the House Banking Chairwoman said the SEC failed to protect investors.

Fidelity Creates Managed Accounts Platform

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The Fidelity Managed Account Xchange will be available to registered investment advisors and broker-dealers next year.

'Jury Still Out' On How Reg BI Will Impact Investment Advisors, IAA Exec Says

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While B-Ds celebrate the new rule, IAA is concerned it could blur the lines between investment advisors and brokers.

SEC Approves Best-Interest Rule, Broadens Brokers' Ability To Offer Advice

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The ruling broadens the ability of brokers to offer investment advice without registering as RIAs.

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