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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 “robo-adviser” 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.

RIAS OCT 16, 2014
The evolution of how advisory firms monitor and sustain their success

The most successful advisory firms prioritize revenue and operations over adviser capacity to remain on top.

PRACTICE MANAGEMENT OCT 16, 2014
House poised to approve continuing resolution that freezes SEC budget

House poised to approve continuing resolution that freezes SEC budget, while agency's chairman says funding not enough to support expanded adviser exams

PRACTICE MANAGEMENT OCT 15, 2014
How to nail your team's next presentation

Here's how to avoid letting interpersonal dynamics alienate colleagues and clients.

3 risk-related reasons to put off claiming Social Security
RETIREMENT PLANNING OCT 15, 2014
3 risk-related reasons to put off claiming Social Security

The choice of when and how to claim Social Security benefits can affect the three biggest financial risks that retirees encounter.

PRACTICE MANAGEMENT OCT 14, 2014
Wells Fargo nets $972M JPMorgan team

Wells Fargo Advisors continues to build on its recruiting momentum with the addition of a trio of former JPMorgan Chase & Co. private bankers.

PRACTICE MANAGEMENT OCT 14, 2014
SEC seeks to bar adviser who allegedly stole $2M

Administrative action follows Federal Court order for adviser Paul Marshall and associated companies to pay fines and disgorgement of more than $15 million.

RIAS OCT 14, 2014
SEC exams could cost RIAs thousands – or even millions

New study pegs the annual cost for industry at $310 million, but fees for individual firms would vary based on AUM.

BROKER DEALERS OCT 13, 2014
LPL's former star adviser finds a home

James “Jeb” Bashaw is now registered with small broker-dealer International Assets Advisory.