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Former Merrill star manager Oden jumps to HSBC
But big banks can fall flat when it comes to building a home for financial advisors.
Time to sell your advisor business? There’s a program for that
LPL Financial's solution is for advisors looking to retire or end business ownership to focus on clients.
Carson Group’s Jamie Hopkins joining Bryn Mawr Trust
‘My personal mission is to enhance the financial security of Americans,’ says Hopkins, who will serve as the firm's director of private wealth management.
JPMorgan shares why advisors should serve needs of diverse investors
Black and Hispanic women are gaining confidence in their investing knowledge.
Envestnet partners with iconik for personalized proxy voting
'Advisors in the Envestnet ecosystem will have access to set-and-forget voting technology,' says iconik's Alex Thaler.
Morningstar to cut 12% of Sustainalytics staff
More than 200 people expected to lose their jobs.
No office, no asset minimum, no problem
Valkyrie Financial's Sarah Paulson wants to help fellow millennials and empower women.
3 in 10 Americans would put buying the latest tech ahead of paying bills
But more cautious consumers are planning to stick to last year’s holiday spending budget.
You and your acronyms: Will a new designation join a long list of financial advisor titles?
The M2SD designation was launched in November 2022. Will advisors gravitate to it like they have the CFP and other titles?
Tom Berthel steps down as CEO of Berthel Fisher B-Ds, remains at holding company
Berthel Fisher has been known to sell a variety of alternative investments, which at times can be expensive and volatile.
Citi’s new wealth business leader will be one of five in new leadership structure
Wall Street banking group is simplifying its operating model and leadership structure.
Family offices focusing more on wealth and investment management, says Citi
Global survey of family office clients pinpoints current and emerging trends.
SEC hits YieldStreet with $1.9M penalty linked to shipping investment
YieldStreet failed to disclose heightened risk, according to the SEC.
The role advisors play in their clients’ lives
The deepest impact advisors make is guiding clients through the various seasons of life.
Does low knowledge of annuities help explain low adoption among advisors?
As advisors' knowledge about annuities increases, so does their perception of these products.
Nine RIA firms fined $850K by SEC for marketing rule violations
The firms were caught in a sweep wrongly advertising hypothetical performance.
Homrich Berg announces C-suite change
Thomas Carroll to replace Andy Berg at the RIA's helm in 2024.
Wealthtender announces acquisition of AGC
The partnership will provide financial advisors with digital marketing tools and access to a community of peers.
What problems? Violations in NASAA sweep exams fall dramatically
States found lower rates of problems with investment advisors across numerous categories.
Goldman confirms rumors of Laurence Stein’s departure
Goldman’s executive vice president and chief operating officer of its asset and wealth management division is retiring amid a wave of changes at the firm.
