Seventy-year-old Elaine Tettemer Marshall holds 15% stake in Koch industries; worth $12.7B
Tuttle originally planned to retire in 2014; COO tapped as replacement
About 80% of advisory firms now have written policies about social networking, compared with 64% last year and 43% in 2010, a recent survey of 555 compliance professionals found
Data from practice management software firm PriceMetrix show that advisers who increased their fee-based assets by more than 25% over the past three years saw revenue increase by an average of 47%.
A new report says advisers are getting false hopes from the recent hype about large RIA deals.
Midsize advisers who haven't completed their switch to state registration from the SEC could have their registrations withdrawn — possibly by the end of the year.
Because many complex financial products have the potential for sudden and/or severe losses of principal, it is imperative that firms recommending these products document a thorough “reasonable basis” suitability analysis.
Investment advisers at large mutual fund companies and other financial institutions often operate with conflicts of interest, John Bogle, founder and former chief executive of The Vanguard Group Inc., told Securities and Exchange Commission Chairman Mary Schapiro on Tuesday.
Bachus bill denounced at TD Ameritrade conference; momentum shifting?
At their party conventions, Democrats put the wealthy squarely in the cross hairs for tax hikes, while Republicans promoted tax cuts for all income levels.
Campaigning on lowering tax man's bite without offering specifics; 'taking their lives into their hands'
Rhoades named to succeed John; wants to keep fiduciary standard for investment advisers.
Put number at $150K -- for a family of four, no less
Mitt Romney's running mate aims to close the budget deficit while dramatically cutting taxes on investment income. Good news for advisers and clients, but is the parlay even possible?
Average transaction AUM nearly double that of 2011, Schwab data show
