The Adviser Center

Tools for Transition

    Broker recruitment bonuses on DOL's radar

    Agency concerned about brokers who sell out client positions at old firm and generate commissions at new firm when they recreate investment portfolios

    How the DOL fiduciary rule could affect financial adviser recruiting

    Here are some ramifications the new rule may have on adviser movement in the industry

    SEC approves Finra broker-compensation rule

    The rule requires transferring brokers to send an educational communication to clients they are trying to convince to make the move with them

    Make your move

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    Company Spotlight

    Edward Jones

    A leader in the financial services industry and one of the industry's largest partnerships, Edward Jones serves nearly 7 million clients. Their unique business model, free from demands of shareholders, gives their more than 14,000 Financial Advisors the ability to put the interests of clients first. Learn More »

    Recent Companies

    Pauley Financial

    Flower Mound, TX

    Intrepid Capital Management Inc

    Jacksonville Beach, FL

    Signature

    Norfolk, VA

    Rinet Company

    Boston, MA

    Browse all companies

    To be included in the Adviser Center, please contact the InvestmentNews Data team at IN-data@investmentnews.com.

    For information about a featured company listing, please contact us.

    RIA Data Center

    1Financial Engines Advisors$138,000,000,000
    2Fisher Investments$71,789,691,574
    3Chevy Chase Trust Company$25,528,177,638
    4Edelman Financial Services, LLC$17,783,062,724
    5Aperio Group$15,619,552,133
    View More

    Advisers on the Move

    Latest news & opinion

    Sen. Gary Peters brings broker background to work every day on Capitol Hill

    Michigan Democrat resists ripping up DOL fiduciary rule but would be open to some changes.

    DOL fiduciary rule causing DC-plan record keepers to change business with insurance agents

    Principal has communicated that independent agents must change their business models to keep receiving compensation.

    DOL fiduciary rule opponents want to push implementation back until 2019

    ICI, Chamber of Commerce among groups asking for delay, while Democratic lawmakers call on DOL to keep to its earlier planned schedule of Jan. 1, 2018.

    Take 5: Vanguard's new CIO Greg Davis talks bonds, stocks and costs

    Having just stepped into the role, this veteran of the firm now oversees $3.8 trillion in assets in more than 300 mutual funds and exchange-traded funds.

    Tech companies deploy behavioral finance tools for advisers

    They seek to turn knowing more about clients into growing more revenue.