Despite some minor glitches and some email outreach confusion, most advisors are handling the change well.
Network 1 Financial Securities did not have a written system to identify and flag excessive trading, resulting in $533,500 in commissions for the firm, regulator says.
Legacy Wealth Advisors was looking for an easier place to do business and differentiated service, founder Kevin Loyd said.
InvestmentNews gains behind-the-scenes access to gauge the mood of execs and advisors as firm prepares to transition 7,000 RIAs and nearly 4 million client accounts.
The class-action complaint alleges the hack exposed personal information of 61,000 TD customers.
'I want our industry to think big,' Brad Genser says.
How one Summit Financial advisor plans to use Pontera to manage clients' held-away assets.
Canter joined Bluespring only a year ago after spending nearly 13 years at Fidelity Investments.
Michigan RIA owner says case is a 'true David and Goliath situation' and that company name has caused significant confusion in the market.
Ross is confident his latest startup, Turnqey Labs, can become the Plaid of cryptocurrency data for advisors.
