The top RIA firms of 2016 are ranked by the total assets under management reported on Form ADV. To make this list, firms had to be U.S.-based and serve individual investors as their primary business.
Morgan Stanley could do little but watch as a team of advisers overseeing $2.2 billion in assets quit last month to start their own shop, the latest in a string of departures.
Beyond the overall planning essentials, a personal retirement solution must also confront the many uncertainties investors face and the volatility inherent in the market that can often prompt suboptimal actions.
A clean BrokerCheck and CRD profile will not only restore an advisor’s reputation among clients and industry insiders, but will dovetail nicely with fiduciary standards moving forward.
To avoid the risk of penalties, advisors should complete a thorough review of their social media compliance procedures and risk exposures over the coming year.
Scottrade Financial Services Inc. has received a non-binding, joint bid from TD Ameritrade and its parent company, Toronto-Dominion Bank, The Globe and Mail reported Wednesday night.
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