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Blucora CEO Clendening Exits, Furthering Management Turmoil
First Republic Hooks $2.5Bln-Asset J.P. Morgan Team in Florida
Schwab Trading Revenue Plunges, Client Assets Hit $4 Trillion Milestone
Morgan Stanley Sees Higher Wealth Profitability After Strong Quarter
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Advisor Moves
First Republic Hooks $2.5Bln-Asset J.P. Morgan Team in Florida
Multimillion-dollar UBS Broker in Calif. Goes Independent with Wells
Rockefeller Nabs $1.3-Bln-Asset Morgan Stanley Team in Atlanta
UBS Hires Schwab “Private Client” Broker in Indiana
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Enforcement
Oppenheimer to Pay $4.7 Mln for UIT Rollover Violations
Credit Suisse to Pay $6.5 Mln for Direct Market-Access Violations
J.P. Morgan, Schwab Win Orders Handcuffing Breakaway Brokers
Merrill, Raymond James to Pay $12 Million for 529 Plan Sales Violations
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Opinion
Opinion: Investors Conquered Fees but Not Their Own Behavior
Investor Confidence in Stocks Rightly Declines: Opinion
Opinion: Schwab’s Zero Commission Decision Challenges Its RIA Clients
Millennials’ Portfolios Should Start to Leave Home: Nir Kaissar
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Fintech News
Visa’s Plaid Takeover Signals Wave of Fintech Deal Making
Need to Move $1.6 Billion? Bank of America Has an App for That
Robinhood Is Back in Washington’s Crosshairs After Leverage Glitch
Robinhood Traders Discovered a Glitch That Gave Them ‘Infinite Leverage’
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From the Publisher
Shirl Penney Opens Up About Envestnet Deal
Sirianni: Mega Trends: 2020 Predictions
Join AdvisorHub in Helping Children in Need
Seven Questions with Tony Sirianni: Richard Frick of Gladstone Wealth Group
Seven Questions with Tony Sirianni: BlackRock’s Elizabeth Koehler
Seven Questions with Tony Sirianni: Fidelity’s David Canter
Seven Questions with Tony Sirianni: Cetera Financial Group’s Richard Whitworth
Sirianni: Zero Com just gave RIAs a 21% increase in Comp overnight
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RIA Resource Center
Information surrounding options for becoming an independent RIA, key benefits, economic potential and the role of the custodian.
How to Think about Compensation with Succession in Mind
Six Common Myths About the RIA Model
How to grow in a risk-adverse industry
The hybrid path to independence
Considering the RIA Model? Here Are the Top Five Benefits of Independence
Closing the Financial Literacy Gap: Turning Passion into Action
Realizing the Value of Your Life’s Work
Advisor Value Propositions: What Investors Really Think
It’s time to build your dream RIA.
From the Desk of Goldman Sachs Select: Flew the Coop
Exploring Independence: An overview of the Registered Investment Advisor model
4 Things to Consider When Evaluating a PE Investment in Your RIA
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