During a recent Inside Wealth panel, advisor Rick Ferri argued that AUM-based advisors aren't incentivized to put clients first, while attorney Max Schatzow stressed advisor compensation for 'value' isn't easily quantified. Either way, advisors...
The team, which will run RBC’s new Lake Forest, Ill., branch, is the latest to jump ship at Merrill Lynch.
Amy Mullen discusses how her firm, Money Quotient, helps advisors guide their clients to gain self-awareness around their values and what’s most important to them.
Peter Quartararo convinced investors that he could purchase shares of companies like Peloton or AirBnb before their initial public offerings, according to prosecutors and the SEC.
Melissa Hodgman, who was previously serving as acting director of the enforcement unit, will return to that role.
The move is the largest so far for the four-year-old Atria Wealth Solutions, a network of advisory firms backed by Lee Equity Partners.
Advisor Chad Taylor joins Strategic Wealth Services, LPL's premium affiliation model launched a year ago, from UBS Financial Services.