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RIAS DEC 15, 2014
United Capital pivots with $2 billion hire

Firm now focused on hiring advisers from larger companies, even wirehouses, as it shifts away from acquisitions.

PRACTICE MANAGEMENT DEC 15, 2014
A second chance at Medicare benefits rolls around

As you work on end-of-year planning for yourself or your parents, make sure Medicare coverage is in place for 2015.

PRACTICE MANAGEMENT DEC 15, 2014
Citigroup fined $15 million for analyst supervisory failures

Failing to supervise research analysts and their handling of material non-public information at issue, Finra says.

PRACTICE MANAGEMENT DEC 15, 2014
New United Capital platform digitizes planning advice

Firm says the platform allows it to better deliver on its planning-centered pitch to clients.

Wedbush Securities latest to choose FolioDynamix's platform
FINTECH DEC 15, 2014
Wedbush Securities latest to choose FolioDynamix's platform

Decision to farm out the wealth management platform for its advisers is a departure.

FINTECH DEC 14, 2014
Time to upgrade to the iPhone 6?

You know when it's time to upgrade your smartphone but is the latest iPhone the way to go?

RIAS DEC 14, 2014
Latest twist in robo-advice: Actively managed funds

Untested approach compared to adding cyanide to cupcakes

RIAS DEC 14, 2014
RIAs to control 28% of assets by 2018: Cerulli

Dual registrants are a key driver of growth for the segment, which holds 20% of assets today, the research firm said.

PRACTICE MANAGEMENT DEC 14, 2014
A whirlwind of change — transitioning into the financial planning industry

RIAS DEC 12, 2014
Krawcheck: Wirehouses undaunted by RIA growth

Former brokerage executive Sallie Krawcheck downplayed the rise of wirehouse breakaways, telling a conference of advisers that wirehouses have more important things to worry about.

PRACTICE MANAGEMENT DEC 12, 2014
Morgan Stanley to pay more of its bonuses upfront

The moves mark a reversal from firm's efforts to defer more pay to tie bankers to the firm and reduce immediate costs.

PRACTICE MANAGEMENT DEC 12, 2014
Morgan Stanley deferring more broker compensation in 2015

Most brokers will likely see a rise of a couple of percentage points in how much of their pay is deferred. The impact will vary depending on how much the broker is bringing in and the length of service.

RIAS DEC 12, 2014
Advisers worry about potential costs of third-party exams

Estimates range from $5,000 to $20,000; sharp opposition to Finra getting involved.

FINTECH DEC 11, 2014
NestEgg Wealth acquisition brings white-label robo to advisers

Technology platform will combine digital advice tool with customer relationship management and portfolio management systems.

PRACTICE MANAGEMENT DEC 11, 2014
Citigroup dealt second fine for prospectus lapses

Finra said the firm failed to deliver documents after ETFs were purchased by clients.

PRACTICE MANAGEMENT DEC 11, 2014
The contingency plan: Your succession plan's safety net

Even the best-drafted arrangements can fall apart, so it's important to have a backup

PRACTICE MANAGEMENT DEC 11, 2014
When slow Internet happens to fast people

Entrepreneur goes where life is slow and the Internet is slower.

PRACTICE MANAGEMENT DEC 11, 2014
Jump-start succession planning by broadening advisers' perspectives

The advice business must work together to ensure advisers have the resources and information they need to develop and execute strong succession plans.

PRACTICE MANAGEMENT DEC 11, 2014
How to handle a scandal

Crisis triage easier when the brand is strong to begin with, experts say.

PRACTICE MANAGEMENT DEC 10, 2014
Should your clients use prepaid college tuition plans?

As more schools sign on, guarantees and tuition cost savings attract account holders.