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NEWS INDUSTRY NEWS JUL 17, 2017
Wells Fargo duo managing $230 million goes independent

Two reps in Palm Beach Gardens, Fla., affiliate with Raymond James.

INVESTING ALTERNATIVES JUL 17, 2017
Oaktree Capital to take over two Fifth Street BDCs in $320 million deal

New owner plans to replace management and lower fees, increasing returns.

The Holy Grail of Being an Adviser
NEWS INDUSTRY NEWS JUL 16, 2017
The Holy Grail of Being an Adviser

The coaches from Focus Partners are back, this time to offer insights on how to not only cultivate Centers of Influence (COIs), but leverage those experts to gain introductions to new prospects.

NEWS RIAS JUL 14, 2017
SEC bars adviser to Tim Duncan and obtains judgment

Already facing a four-year prison term and $7.5 million in restitution, Charles Banks IV to pay other penalties.

NEWS RIAS JUL 14, 2017
Median RIA firm had 25% operating margins in 2016: Schwab

The median RIA firm grew at a 10% compound annual growth rate over last five years, according to the firm's annual study.

NEWS INDUSTRY NEWS JUL 13, 2017
Broker-dealer managing $1.1 billion joins Signator OSJ

Royal Securities Co. in Grandville, Michigan, affiliates with VantagePointe Financial.

RETIREMENT LIFE INSURANCE AND ANNUITIES JUL 13, 2017
Manulife weighs a John Hancock IPO or spin-off

Persistently low interest rates have hammered insurance company profitability.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 12, 2017
Finra hits State Street with $1.5 million fine for electronic record-keeping violations

Regulator censured the firm for failing to maintain copies of messages.

NEWS RIAS JUL 12, 2017
Former broker gets 30 months for defrauding investors

Stephen Eubanks of Hingham, Mass., claimed to be an RIA running a hedge fund.

NEWS INDUSTRY NEWS JUL 12, 2017
Merrill Lynch brokers managing $1 billion move to UBS

Cincinnati sister-brother team and duo in Michigan shift firms.