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RIAS OCT 20, 2014
TD Ameritrade's Veo dashboard gets boost from big data

Firm looks to capitalize on adviser growth with tech upgrades, but no new robo-adviser in the offing.

PRACTICE MANAGEMENT OCT 20, 2014
Morgan hires longtime Merrill broker

Thomas Forma previously managed more than $300 million along with his partner Kevin Nichols.

PRACTICE MANAGEMENT OCT 20, 2014
Merrill snags $500 million team from UBS

Trio brought in $5 million in annual revenue at UBS and will join Merrill's elite private banking group. <i>See also: <a href=&quot;http://www.investmentnews.com/article/20141020/FREE/141029993/morgan-hires-long-time-merrill-broker&quot; target=&quot;_blank&quot;>Merrill loses longtime broker to Morgan Stanley</a>)</i>

PRACTICE MANAGEMENT OCT 20, 2014
SEC hits record enforcement actions in fiscal 2014

Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.

FINTECH OCT 20, 2014
Protecting client information is more than just a computer issue

Taking every precaution to guard against today's threats means focusing on both physical and electronic security.

FINTECH OCT 20, 2014
Commonwealth building technology with an eye on the robo-adviser

CEO Wayne Bloom says the firm is considering how a robo offering could help its advisers better connect with clients.

PRACTICE MANAGEMENT OCT 19, 2014
What the SEC's enforcement numbers really tell us

Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past

ALTERNATIVES OCT 19, 2014
SEC approves rule change for greater transparency of nontraded REITs

The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.

FINTECH OCT 17, 2014
Merrill Lynch 'goals-based' accounts to reach $200 billion milestone

Merrill Lynch expects its revamped fee-based investments platform to pass $200 billion in assets by next week, notching a milestone in its massive platform overhaul.

BROKER DEALERS OCT 17, 2014
Two big developments in retirement planning grab advisers' attention

Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.

BROKER DEALERS OCT 17, 2014
LPL cuts profit forecast to cover higher-than-expected regulatory costs

LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.

OPINION OCT 17, 2014
No license to boast

New research shows how uncomfortable self promotion makes listeners.

PRACTICE MANAGEMENT OCT 17, 2014
5 questions to help you value your business

The old five-times EBITDA rule of thumb isn't enough in an age when intellectual property and data count for a lot.

EQUITIES OCT 17, 2014
Merrill stabilizes head count, boosts productivity

The firm's thundering herd climbed back to 14,000 in the third quarter after several quarters of steady declines.

BROKER DEALERS OCT 17, 2014
Two high-profile adviser terminations take center stage

This week's must-read stories for advisers include employment drama at LPL and Merrill, Bill Gross speaking out, and a renewed push for more women in advice.

PRACTICE MANAGEMENT OCT 17, 2014
Morgan Stanley hauls in $320M Neuberger Berman team

Firm picks up father-son duo who previously brought in $3.5 million a year in revenue.

PRACTICE MANAGEMENT OCT 16, 2014
To recruit young advisers, show them a path

The next generation is not hearing the call of opportunity in the advice business, and it's up to each of us to bring them on.

RIAS OCT 16, 2014
4 ways automation technology is changing the way RIAs invest

Betterment founder and CEO Jon Stein says automation helps investors achieve better outcomes by taking irrational emotions out of the picture, improving returns and saving time.

FINTECH OCT 16, 2014
Betterment launches robo-adviser for advisers

Betterment founder and CEO Jon Stein says Betterment Institutional lets advisers get in on the &#8220;robo-adviser&#8221; game by allowing them to outsource portfolio re-balancing, daily tax-loss harvesting and more.

FINTECH OCT 16, 2014
Digital investment platforms go online to calm skittish investors

Wealthfront and Betterment take to Twitter and the blogosphere as stock market volatility rises.