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Balances in self-directed 401(k) accounts up 19% last year: Schwab
RETIREMENT RETIREMENT PLANNING MAR 05, 2020
Balances in self-directed 401(k) accounts up 19% last year: Schwab

Participants' asset allocation was largely unchanged, with more than a third of their assets in mutual funds

By the Numbers: Annuities News
RETIREMENT LIFE INSURANCE AND ANNUITIES MAR 04, 2020
By the Numbers: Annuities News

What will a new insurance model rule for states mean for advisers who sell annuities? And what is the goal of the new Retirement Income Institute?

Investors prefer advisers to algorithms
NEWS INDUSTRY NEWS MAR 04, 2020
Investors prefer advisers to algorithms

As financial advisers cope with careening markets and stressed clients, they may be heartened by a report showing that investors do value the human touch

Costs of elder fraud aren't always financial
YOUR PRACTICE PRACTICE MANAGEMENT MAR 04, 2020
Costs of elder fraud aren't always financial

More than two-thirds of advisers said the emotional toll on clients is substantial, according to a survey

Team managing $450 million at Wells Fargo starts RIA
NEWS RIAS MAR 04, 2020
Team managing $450 million at Wells Fargo starts RIA

Brown Miller Wealth Management in McLean, Va., will use First Clearing for custody

SEC charges two unregistered brokers with fraud
NEWS REGULATION AND LEGISLATION MAR 02, 2020
SEC charges two unregistered brokers with fraud

Cold-callers Jason Arthur and Christopher Bongiorno were unlicensed when they pitched investors the securities of two U.S. companies

LPL snags team managing $610 million from Raymond James
NEWS BROKER DEALERS MAR 02, 2020
LPL snags team managing $610 million from Raymond James

The move marks at least the second adviser to switch from Raymond James to LPL in as many months

Best Places to Work for Financial Advisers 2021
NEWS INDUSTRY NEWS MAR 01, 2020
Best Places to Work for Financial Advisers 2021

InvestmentNews’ fourth annual Best Places to Work for Financial Advisers highlights 75 advice industry firms that recognize the importance of a strong work culture. The firms’ profiles detail the HR policies and workplace practices they use to attract and retain skilled advisers, as well as changes they've made in response to the pandemic.

Let’s aim for advisers to better reflect investors
YOUR PRACTICE PRACTICE MANAGEMENT FEB 29, 2020
Let’s aim for advisers to better reflect investors

Helping women move beyond entry-level positions in their financial services careers could make a meaningful dent in the dearth of female leaders

Advisers say regulation will be biggest shaper of business
NEWS REGULATION AND LEGISLATION FEB 26, 2020
Advisers say regulation will be biggest shaper of business

Other factors include changing client demographics and technology innovation, according to a new survey