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 »

    Search Results

    AXA Advisors LLC

    New York, NY

    BCG Securities, Inc.

    Cherry Hill, NJ

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    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

    Latest news & opinion

    Will Jeffrey Gundlach's Trump-like approach on Twitter work in financial services?

    The DoubleLine CEO's attacks on Wall Street Journal reporters is igniting a discussion on what's fair game on social media.

    Fidelity wins arb case against wine mogul but earns a rebuke from Finra

    In the case of investor Peter Deutsch, Fidelity doesn't have to pay any compensation, but regulator said firm put its interests ahead of his.

    Plaintiffs win in Tibble vs. Edison 401(k) fee case

    After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.

    Advisers get more breathing room to make Form ADV changes

    RIAs can enter '0' in some new parts of the document before their annual filing next year.

    Since banking scandal, Wells Fargo advisers with more than $19.2 billion leave firm

    Despite a trying year, the firm has said it will sweeten signing bonuses for veteran advisers.