3rd Quarter RIA M&A Deals Rebound, Hit Record Level
After a brief slowdown in the second quarter, wealth management M&A activity has returned to an all-time high level.
Recent
Comparing the DOL Proposal to the Broker-Dealer and RIA Standards of Conduct
Comparing standards of conduct between broker-dealers under Reg BI, RIAs under the SEC, and DOL's proposed prohibited transaction exemption.
Financial Advisors: Delight Your Clients With These 10 Service Strategies
Clients of a financial advisor or firm definitely appreciate seeing their portfolios grow, but there’s more to good service.
Survey From The College for Financial Planning Finds More Investors Turning to Financial Advisors as a Result of the Pandemic
A survey conducted by The College for Financial Planning found financial advisors in greater demand after onset of COVID-19.
Wells Fargo Fires More Than 100 Employees For Covid Relief Fund Abuse
Wells Fargo has fired more than 100 employees for improperly applying for federal coronavirus relief money.
RIAs With $1 Billion-Plus In AUM Report Over 9% Annual Growth
For firms with at least $1 billion in AUM, top strategic initiatives remain consistent year-over-year, and acquiring new clients is the top priority.
Financial Advisors Wanted: Fidelity Hiring 4,000 People Over Next Six Months
Fidelity Investments is set to hire 4,000 new employees over the next six months.
