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July 2, 2015

Barclays FAs Run to Merrill on Word of Stifel Buy
Over a dozen have left since the deal was announced last month.
SEC’s Aguilar Says, “No, We’re Not After CCOs”
Commissioners issue conflicting statements about agency’s pursuit of compliance chiefs.
Market Correction Will Spark Advisor Movement
FAs are more likely to move when sign-on bonuses are most attractive.
Don’t Just Meet With Clients, Entertain Them
Connecting with clients outside your office.
One-Third of Millionaires Have No Estate Plan
Many high-net-worth investors skip the process, and the effects can be devastating.