Financial Advisor Blog - Page 90 - Financial Advisor Transitions

U.S. High-Yield Rate Hits Record Low

February 14th, 2022

Currently, the U.S. high-yield rate is at 0.3 percent -- the lowest it has been since 2001.

SEC Proposes New Rule to Address Cyber Risks

February 11th, 2022

The Securities and Exchange Commission (SEC) released for public comment a proposed regulation that would require advisors to adopt and implement w...

SEC Proposes New Rules for Private Fund Advisors

February 10th, 2022

If finalized, a new proposal would implement sweeping mandates on private fund advisors.

Productivity Among Wirehouses Grow as Headcount Shrinks

February 9th, 2022

According to a report issued by Cerulli Associates, advisor productivity, as measured by assets under management, grew year over year by 14.4 perce...

LPL and Edward Jones Tell Different Stories of Headcount and Profit

February 8th, 2022

LPL and Edward Jones Tell Different Stories of Headcount and Profit

CFA Exam Pass Rate Remains Close to a Record Low

February 7th, 2022

According to Financial Planning, 43 percent of candidates completed the Chartered Financial Analyst exam series.

Raymond James and Ameriprise Report Record Asset Growth

February 4th, 2022

According to Investment News, Raymond James's advisors in its private client group recorded net new asset growth of $104 billion, or 11 percent, ov...

Stifel CEO Aims to Reach $1 trillion in Customer Assets

February 3rd, 2022

Ron Kruszewski, Stifel's CEO, has set an ambitious goal of reaching $1 trillion in customer assets under management for Stifel's wealth division.

UBS Buys Wealthfront for $1.4 Million

February 2nd, 2022

According to AdvisorHub, UBS purchased Wealthfront, a digital wealth management platform worth more than $27 billion in assets under management.

LPL and Commonwealth Using Asset Level to Calculate Recruiting Deals

February 1st, 2022

According to WealthManagement.com, Commonwealth Financial Network confirmed that it recently changed the way it structures deals it offers prospect...