From Think Advisor
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Summarry: In a wide-ranging session at the Envestnet Advisor Summit in Chicago on April 8, MarketCounsel’s founder and CEO Brian Hamburger addressed many of the big regulatory and compliance issues facing advisors, and that one of the main issues is the regulators themselves.
From On Wall Street
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Summary: Advisor Marta Shen found that her practice had become more demanding, depriving her of time with both clients and her two small kids. So the Atlanta-based independent advisor made a rare move: She moved to the employee channel.
From InvestmentNews
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Summary: The Securities and Exchange Commission and Financial Industry Regulatory Authority Inc. together issued an alert to investors to be wary of automated online investment platforms, putting advisers on notice that the Wild West of robo-advice is not going unnoticed.
From Financal Advisor IQ
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Summary: Like many other wirehouse breakaways, Erik Strid enjoys one very welcome new freedom since he departed from his firm: flexibility about how, and for what, he charges his clients.
From On Wall Street
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Summary: Unhappy where you are or just curious about the choices out there for you? I hear from advisors on both fronts, who say they get recruited constantly.
