Tag: Broker/Dealers

At the end of 2010, exchange-traded funds (ETFs) reached 25% of retail fund assets in wrap programs at national broker/dealers (B/Ds), up from 22% at the end of...

Wirehouses are changing the way they work with investors, advisers, and asset managers in an effort to win back some of the market share they’ve lost to regional...

Bank of America Merrill Lynch’s Advisor Alliance program now has partnerships with 12 recordkeeping partners.

Nearly two-thirds (62%) of advisers say their greatest pitfall in communicating with clients is lack of frequency, according to an SEI Advisor Network poll.   

BCG Securities, Inc., a full-service broker/dealer and advisory firm, announced Joseph Englert is its new Director of Operations. 

Fiduciary Benchmarks will provide benchmarking services to M Financial Group's 130 Member Firms and their 800 producers. 

The Charles Schwab Corporation has agreed to acquire optionsXpress Holdings, Inc., an online retail brokerage firm.

The Dodd-Frank Act, target-date funds, and the evolving role of a fiduciary were some of the topics Frederick Reish and Robert Kaplan touched on at the ASPPA 401(k)...

David Harper and Bill Straub of Legacy Executive Benefits have become members of the Retirement Plan Advisory Group (RPAG).  

In a memo to the Retirement Services division, Andy Sieg, Head of Retirement and Philanthropic Services for BofA Merrill Lynch, announced that Tom McAuliffe will be the new head...

The SPARK Institute hosted a Webinar Wednesday that discussed how “harmonization” would work if broker/dealers (B/Ds) and registered investment advisers (RIAs) were to work under a uniform fiduciary...

With Washington causing quite a stir in proposing changes to the definition of fiduciary, the Virtual PLANADVISER National Conference brought together experts to discuss the realities of such...

Cambridge Investment Research, Inc. has announced a strategic partnership with Retirement Plan Advisory Group (RPAG).  

The Vanguard Group was the largest fund manager as of December 31, 2010, according to Strategic Insight, an Asset International company.

Retirement Plan Advisory Group (RPAG) named Veronica Lee, formerly of 401(k) Advisors, Senior Vice President of Client Service.  

Greg Fleming has been named president of Global Wealth Management at Morgan Stanley.

Scott Lamb will work with Loring Ward's broker/dealers and provide value-added solutions to help advisers better serve their clients. 

Charlie Vieth and Steve Zients of Act2 Retirement Consulting have affiliated with practice management firm Retirement Plan Advisory Group (RPAG).

 Mariner Wealth Advisors has acquired the CBIZ Wealth Management team, formerly a part of CBIZ Inc., effective January 1.  

CAPTRUST Financial Advisors has announced the acquisition of another adviser team.