DOL in the Real World
Robert Cirrotti, Pershing’s managing director of investment and retirement solutions, on how firms are navigating the fiduciary rule now that it’s in place—and where the rule could go from here.

How FINRA Thinks High-Risk Brokers Should Be Supervised

Diana Britton

The regulator typically examines firms once every four years, so if an examiner is coming onsite more than that, your b/d may have a high-risk broker.

Consumer Demands And The DOL Fiduciary Rule

Sponsored by Advicent Solutions

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CFP Seeks to Limit Ambiguity with New Standards

Diana Britton

The new standards provide clarity around CFP certificants’ fiduciary duty, as well as how they represent their compensation.

Blackstone Goes All In on Private Wealth

Diana Britton

The alternative manager has been quietly building its private wealth business over the last five years, to the point where 15 to 20 percent of its assets under management now come from retail channels.

Prominent UBS Team Chooses Independence, Joins Dynasty

Michael Thrasher

The group previously oversaw more than $8 billion in institutional assets and $400 million in private assets.

Tech-Savvy Advisors Are Outperforming Their Peers

Ryan W. Neal

The latest Fidelity data shows these "eAdvisors" have higher AUM and more HNW clients.

DOL Rule Doesn’t Necessarily Make Traditional Share Classes Obsolete

Alma Piscitello

The introduction of T shares and clean shares is well intentioned, but in many cases, older share classes already offered by fund managers can save investors more money, and mitigate conflicts of interest.

IRS Simplifies Extension Procedures for Portability Elections

David A. Handler and Alison E. Lothes

Five Prospecting Questions to Uncover Dissatisfaction

Stephen Boswell and Kevin Nichols

An advisor who is armed with the knowledge of why affluent clients fire their advisor is extremely dangerous...to other advisors.

Pershing Launches ETF Platform Absent Transaction Fees, Purchase Minimums

Michael Thrasher

Financial advisors asked Pershing to help lower costs so they eliminated explicit fees for some funds.

WHITE PAPERS

• Engage Next Generation Clients
• Practice Mergers and Acquisitions: What Advisors Need to Know
• 3 Reasons Why Inflation Should Be Part of Your Conversations Today
• An Advisor Enablement Guide to the DOL Fiduciary Rule
• Focus on Next-Gen Clients, Part II
• View More Whitepapers

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AICPA ENGAGE 2017