Nov 4 2019

InvestmentNews – The Investing News Source for Financial Advisers, investment.


Merrill likely next big firm to dump broker recruiting protocol

Recruiters say Merrill Lynch, like Morgan Stanley and UBS, has already moved away from the traditional recruiting model and is more apt to leave the protocol than Wells Fargo.

Senate tax bill survives budget committee, heads to floor vote

Vanguard rolls out actively managed factor ETFs

UBS broker-protocol exit shows independent channel is bleeding wirehouses of advisers

Latest news

Bitcoin price breaks $10,000. Here’s what history tells us comes next. 5:00 pm

Morningstar: Small-employer retirement plans need legislative fixes 5:16 pm

Fidelity and Lincoln collaborate on custom technology suite 4:31 pm

Fidelity outage sidelines retail customers, but advisers not affected 2:54 pm

Most popular

401(k) managed account push rife with conflicts of interest

Some providers are paying incentive compensation to representatives to promote their managed accounts to participants.

Meet the 2017 class of Women to Watch

These women got to where they are through hard work and perseverance. Their stories will inspire you.

Vanguard rolls out actively managed factor ETFs

The six ETFs and one mutual fund, which will focus on volatility, value, momentum, liquidity and quality, mark a departure from the money manager’s storied promotion of passive index funds.

Spotlight on

Hitting the right note

Speculation is mounting about what a new ?fiduciary rule will look ?like as the DOL and ?SEC try to harmonize ?advice standards.

Retirement Plan Adviser

A quarterly report on the trends and ideas that advisers who serve retirement plan sponsors and participants care about.

Meet our 2017 Women to Watch

Introducing 20 female financial advisers and industry executives who are distinguished leaders, advancing the business of providing advice through their creativity and hard work.

Can Robert Moore save Cetera?

In the little more than a year since he stepped in as CEO, Mr. Moore has made great strides in turning around the broker-dealer network after its parent company went through a painful — and very public — bankruptcy.

Blogs & opinion

Coach clients on salary negotiations

Bank loans or high-yield bonds? Maybe both.

UBS broker-protocol exit puts firm before clients


Delay of DOL fiduciary rule enforcement mechanisms now final

Tax-hike fears fuel talk of relocating

Fidelity outage sidelines retail customers, but advisers not affected

Featured video


The power of automation

With good data and great workflow processes, advisers can outpace the competition. Junxure’s Robert DeFrancis offers some strategies for success.


A road well traveled: Can your clients live retirement with a purpose?

Sponsored by Prudential


Path to growth



A joint webcast with Pensions & Investments: The 2018 Retirement Plan Adviser Outlook

Institutional intelligence for the informed adviser: Strategies for accelerating the growth and development of your defined contribution plan business.

Partner content

Help Clients Make Charitable Giving History

Sponsored by Schwab Charitable

Why Wirehouse Advisors Shouldn’t Fear Going Independent

Sponsored by Commonwealth Financial Network

The next frontier of advice

Sponsored by First Clearing

White papers

4 ways advisors can use tech to attract millennials

Sponsored by Redtail

Q4 Commodities ETP Guide

Sponsored by ETF Guide

Data & resources

Retirement Plan Adviser

A quarterly report on the trends and ideas that advisers who serve retirement plan sponsors and participants care about.

B-D Data Center

Find out which firms offer the highest payouts, have the most reps in the field and generate the most revenue – or create your own custom rankings.

The Adviser Center

Before you change firms, make a new hire or explore an acquisition, visit the new InvestmentNews Adviser Center.

Fiduciary Focus

The DOL rule from all angles. Fiduciary Focus is your one-stop resource for learning how the DOL’s fiduciary rule is changing the advice business.

Advisers on the Move

Track the latest teams of advisers and brokers changing firms and view recruiting activity at wirehouses, regional brokerages, RIAs and IBDs.


Visit the InvestmentNews Bookstore to access the latest must-reads from industry thought leaders.

White Paper Library

The latest and most targeted thought leadership for the financial industry – all free to download.

RIA Data Center

Use this interactive rankings tool to find key information on over 1,400 fee-only registered investment advisory firms.

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