RJ ramping up its custody business
Investment adviser division aims to triple current assets under administration; targeting RIAs with $100M-plus in assets
Schwab franchise plan could be a hard sell
As The Charles Schwab Corp. officially begins promoting its new Independent Branch Services franchise program, observers wonder how the firm will pull off the ambitious plan to expand its footprint with independent contractors
Add assets but keep costs down by using model investment portfolios
At Financial Services Advisory Inc., the mantra for clients is, ”You win by not losing.” The same holds true…
What to do — and not to do — when going independent
Breaking away can be a daunting proposition. Here's what to do — and not to do.
Muni regulator puts pay to play, other proposals on hold
The Municipal Securities Rulemaking Board has yanked all six of its proposed rules covering municipal advisers today, triggered by worries about the Securities and Exchange Commission's proposed definition of a municipal adviser.
RIAs cool on economy, markets
Only 37% of advisers are now bullish on the stock market, compared with 56% last January, according to a survey Schwab Advisor Services. Cash, fixed income, gold and foreign currencies are the only four asset classes in which advisers are likely to invest more.
Chill economic winds ahead, advisers say
Financial advisers, normally an optimistic lot, are growing increasingly gloomy about the economy
Finra election results are in: Krawcheck, small B-D exec get the nod
Ken Norensberg, chief operating officer of Tritaurian Capital Inc., has won a contested small-firm seat on the Financial Industry Regulatory Authority Inc. board.
Finra small-firm campaign getting ugly
'Name calling,' 'conspiracy theories' spice up election for seat on board
Finra election deadlines set for next month
Interested in a seat on Finra's small firm advisory board or on one of its district committees? You have until Oct. 7 to submit a form to get your name on the ballot.