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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    BCG Securities, Inc.

    Cherry Hill, NJ

    Cetera Advisors

    Denver, CO

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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
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    Featured video


    What top advisers are doing to stay ahead of the curve

    Top advisers understand that they need to work outside the box and focus on generational reach. Susan Kay of MFS Fund Distributors, Inc. explains.

    Latest news & opinion

    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.

    Is LPL's deal sweet enough for NPH's 3,200 reps and advisers?

    They will have to decide if the signing package they are being offered by LPL makes sense. A lot is hanging in the balance.