APRIL 21, 2018

INDUSTRY

LPL’s Broken, CEO Dan Arnold Says. This Is How He Wants to Fix It

Diana Britton

In light of the firm’s difficulties in recruiting NPH advisors and the dissatisfaction of its own advisors, LPL Financial CEO Dan Arnold admits “we have a problem,” and lays out a plan for change.

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INDUSTRY

SEC Reluctantly Votes to Push Best Interest Proposals Forward

David H. Lenok

The SEC commissioners pushed through a proposal package that would establish a best interest standard for broker/dealers and restrict brokers from using the titles “advisor” or “adviser.”

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Sponsored by Wilmington Trust

Turn year-end giving into a longer-term strategy.

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REGULATION AND COMPLIANCE

Advisors Greet SEC’s Best Interest Proposal with Skepticism

David H. Lenok

Even those who are pleased with the result agree there’s much work to be done.

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ETFS

The 20 Largest High Yield Bond ETFs

Aniket Ullal, First Bridge Data

The 20 largest high yield bond ETFs ranked by one-year returns.

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ETFS

Marijuana ETFs Off of January Highs

Samuel Steinberger

Politics and growing pains are killing vibes among cannabis ETFs, which are down for the year.

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HIGH NET WORTH

This Is Why Stars Are Updating Their Wills

Robert Napier

Protecting your post-mortem image matters.

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BUSINESS PLANNING

Fix My Business: Good Help Is Hard to Find

Anne Field

The right administrative staff can make all the difference.

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NAPA 401(k) SUMMIT

Plan Sponsors Share How Advisors Can Win Their Business

Michael Thrasher

Executives from three companies gave attendees at the NAPA 401(k) Summit some do’s and don’ts, and what they really look for advice on.

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NAPA 401(k) SUMMIT

The Battle for Retirement Accounts Was Won But a War Is Still on the Horizon

Michael Thrasher

Until there were talks of changes, members of Congress didn’t realize the clout defined-contribution plans could have on the Hill.

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INDUSTRY

The Thundering Herd Turns to Organic Growth

Diana Britton

Merrill Lynch’s turn away from big recruitment packages toward a focus on incentivizing current advisors appears to bear fruit. The number of new households with over $250,000 in assets increased by 60 percent year-over-year, with advisor attrition to competing firms at an all-time low.

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