Peter Mallouk of Creative Planning, after years of growing organically, makes his fourth purchase so far this year, but says the firm will avoid going down the private-equity funded, roll-up path that other national RIAs are pursuing.
Edward Jones has lost an effort to prove a terminated advisor was soliciting clients in breach of his employment contract.
The Securities and Exchange Commission is seeking to bar Reginald Middleton from offering digital securities.
The NCAA has agreed to let student-athletes receive money for endorsements—but, without a playbook, this could turn out to be a major league problem.
The firm is working on its client mobile app, texting capabilities and new account opening process, said Rich Steinmeier, head of business development.
The window of opportunity for these upstarts is now closing.
Younger advisors may be social media natives, but a recent survey finds experienced advisors are more apt to use the platforms.
The full-page ads ran in the Wall Street Journal, the Dallas Morning News and others under the headline, “You Heard Their Story. Now Hear Ours,” and included a group photo and testimonials.
We curated dozens of books to come up with a selection that offers advisors a wealth of actionable best practices, tips to help you better serve clients and general wisdom to up your game
Clients opened 142,000 new trading accounts in October, bringing total brokerage accounts to 12.2 million.