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RIAS APR 28, 2014
Tech firms honored as the advice industry's most innovative

At the fifth TD Ameritrade Institutional Technology Summit, which has brought together some of the industry's top technology firms, TDAI introduced its first-ever “Veo Integrated Awards.”

PRACTICE MANAGEMENT APR 28, 2014
Acting locally to improve financial literacy globally

Despite widespread awareness that the state of financial literacy in our country is dire, precious little has been done at the national level to strengthen Americans' understanding of fundamental money management concepts. Dale Brown of the FSI says that we must — as an industry — focus our attention and our energy on tackling this critical issue on the local level.

RIAS APR 28, 2014
Finding originality in financial services in a sea of copycats

It is very hard to stand out in such an overwhelmingly cluttered market place. Here's some of Joe Duran's strategies for success.

BROKER DEALERS APR 28, 2014
Woodbury Financial Services promotes Rick Fergesen to president and CEO

Broker-dealer had sought a new chief since Pat McEvoy resigned in December.

BROKER DEALERS APR 28, 2014
Top RBC exec exits

Craig Gordon, the No. 2 executive at RBC Correspondent Services, has left the clearing firm.

FINTECH APR 27, 2014
Three reasons why advisers should go mobile

Schwab Advisor Services' Neesha Hathi on how advisers' need for a mobile presence has never been greater thanks to investors' easy access to a wealth of information.

EQUITIES APR 27, 2014
Sell in May and go away?

<i>Breakfast with Benjamin:</i> Time to sell stocks? Plus: All you need to know about the Fed's policy decision today, lessons from a Texas-size bankruptcy, lingering effects of the polar vortex, a social media darling trips up, and the latest on Rep. Dave Camp's tax reform plan.

BROKER DEALERS APR 27, 2014
For LPL, recruiting numbers add up

In a good sign for the industry, recruiting came roaring back in the third quarter for LPL Financial, which added 154 net new registered reps and advisers. CEO Mark Casady says recruits came 'from all over.'

PRACTICE MANAGEMENT APR 25, 2014
Adviser Dan Joss departs FJY Financial

Split at former Fox Joss &amp; Yankee said to be amicable.

PRACTICE MANAGEMENT APR 25, 2014
Pressure mounts on advisers to lower fees

A national focus on financial fees has clients asking more questions.

PRACTICE MANAGEMENT APR 25, 2014
Wells Fargo training program violates labor laws: Suit

A former adviser trainee of Wells Fargo Advisors says firm went after her for training costs after she left the firm; she has sued, claiming the firm's practice of recouping training costs is illegal and discriminatory.

RIAS APR 25, 2014
Creating clear career path critical to attracting NextGen advisers

Fidelity is even broadening its recruiting efforts to high school students

PRACTICE MANAGEMENT APR 25, 2014
Financial advice business grapples with diversity challenges

Could a wave of retirements open unprecedented opportunity for minorities?

PRACTICE MANAGEMENT APR 25, 2014
Female Merrill Lynch advisers object to gender bias settlement

A group of women advisers contend that a $39 million payout will actually reinforce policies allegedly tied to gender discrimination.

PRACTICE MANAGEMENT APR 25, 2014
Student creates business to aid “pre-planning” clients

Not satisfied just setting up meetings and answering phones, financial planning student Leah Manderson found a way out of the need-experience-to get-experience Catch-22.

FINTECH APR 24, 2014
Is David Einhorn right about the coming tech bust?

David Einhorn, who runs a $10 billion hedge fund, seems to think it's time to start shorting some of the &quot;cool kid&quot; companies that are valued more on buzzwords than on revenue or profits. The question is whether he has picked the right moment.

FINTECH APR 24, 2014
Technology: Bundled, best of breed, or both?

Debate continues about whether it is best to utilize a bundled solution or choose best-of-breed technologies. Proponents of bundled solutions are attracted by the concept of a one-stop shop. Bundled solutions can offer seamless integration and one source for support. There is also the potential for cost savings when buying multiple components from one provider.

FINTECH APR 24, 2014
Total Rebalance Expert, Orion integrate offerings

Joint venture integrates re-balancing software with portfolio management platform

PRACTICE MANAGEMENT APR 24, 2014
NAPFA, FPA waiting on CFP Board to have fee-only talk

NAPFA chief executive cites 'lack of clarity' as industry looks for CFP Board to take lead.

PRACTICE MANAGEMENT APR 23, 2014
Unpacking the SEC's guidance on client reviews

Kitces digs into recent news that advisers won't be dinged for client reviews on third-party websites