Aon Hewitt says SEC looking at marketing materials
The SEC continues to lift the hood on the marketing practices of registered investment advisers, as evidenced by the regulator's...
Recent
‘Excessive disclosure’: how an incoming SEC rule could overwhelm US offshore
Many of you might be well aware of the SEC’s Regulation Best Interest proposal that was released earlier this year...
Changing Wealth-Management Business Models: Asset Allocation Daily
We’ve all heard of the distinction between a “job” and a “vocation” – the former being what a worker does to collect his paycheck and...
Wentworth Management Services Announces Purchase Agreement to Acquire World Equity Group
Wentworth Management Services announced that the firm has entered into a purchase agreement to acquire World Equity Group, an independent...
LPL Financial Welcomes Five Advisors To Existing Firm Gladstone Advisors
LPL Financial LLC, a leading retail investment advisory firm and independent broker-dealer, announced that five financial advisors, Steve Pollock, Ja
Shifting Advice Back Into the Hands of Humans
Merrill Edge is piloting a program that will allow mass affluent clients from its Merrill Guided Investing platform...
Fintech Competition Reveals Cutting-Edge RIA Tech
The TD Ameritrade Innovation Quest finalists have been announced and include an early warning system for leaving clients...
