On Advice

Senior columnist Bruce Kelly provides a behind-the-scenes look at firms, personalities and happenings in the financial advice industry.

Displaying 113 results

Topic

It’s 2020, and the chase for big commissions is back

The financial advice industry is priming the pump to increase sales of high-commission products

Topic

The fight over who owns the client comes to RIAs

Mercer Global Advisors sues adviser who jumped to a competitor.

Topic

A crisis of confidence surrounds GPB Capital

The latest setback is a lawsuit from an auto dealer who sold a majority stake in his company to GPB and accuses the firm of 'a massive securities fraud.'

Topic

Nick Schorsch returns to public view, this time to settle up with the SEC

After keeping a low profile for past few years, one-time REIT czar re-emerges to face consequences for past wrongdoing.

Topic

Wall Street is going RIA-ish

Big firms creating business models that kinda, sorta, look like an RIA for advisers.

Topic

What does it mean when superstar breakaway brokers bolt again?

The decision by the Luminous team to leave First Republic could have far-reaching repercussions for the entire advice industry.

Topic

Bob Oros opens up about HighTower’s aggressive growth strategy

CEO expects acquisitions to continue over the summer.

Topic

Private equity loves IBDs, but will that last?

Three big acquisitions in less than a year signals renewed life in the formerly beleaguered industry.

Topic

Is time running out for advisers who sold GPB private placements?

GPB Capital is now a year late in making important financial information public. Finra could discipline brokers who sold the private placement.

Topic

Air Force veteran-turned-adviser clashes with First Command

Adviser seeks $10 million in damages in dispute over copyrighted sales materials.

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