Raymond James pivots to appeal to registered investment advisors
Raymond James will combine two private client group units to create a new RIA and Custody Services division.
Recent
Navigating A Virtual Finance Conference
Many in-person financial-themed conferences have gone virtual due to the current pandemic, but you can still have a great experience attending one.
Orion & Brinker Ready To Rock Wealth Management: Don't Get Left Out
Forget empty "fintech" dreams as industry change accelerate. While ambitious advisors have time to lock in relevance, the clock is ticking fast.
Helping Investors Understand an Adviser’s Value
The answer to what a financial adviser does should be answered both generally and most importantly, in terms of what they can do for their clients.
Fee confusion persists
Efforts to arm investors with more information about the performance and costs of their investments aren’t working.
CCO for investment firm altered documents to cover compliance failures, SEC says
The firm has been fined and censured for not fixing compliance failures identified by two federal agencies, then altering documents.
