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AssetMark CEO Natalie Wolfsen leaves for top job at Orion
As Wolfsen succeeds founder Eric Clarke as CEO of Orion, AssetMark announces she will be replaced by Michael Kim, a 13-year veteran of the company.
Flourish Cash increases FDIC coverage, interest rate to meet advisor demand
Independent advisors can use Flourish to offer clients 5% APY on cash and up to $10 million in FDIC insurance.
Goldman underperformers could be out next month
The Wall Street bank is likely to shed 1% to 5% of its workforce in annual review.
Vetting fund managers on DEI: Why it matters
Diversity, equity and inclusion is increasingly important to many advisors and their clients.
Osaic nabs veteran Wells Fargo group managing $600 million in Michigan
Labor Day weekend is a traditional time for financial advisors to leave one firm and be recruited by another.
Create a Sustainable Practice by Developing New Talent
If you’re looking to scale your business or build a lasting legacy, you’ll want to expand your thinking and formulate a plan for more than just adding new clients. One thing to consider for long-term growth is hiring an associate advisor.
Commonwealth expands Talent Exchange Initiative
The firm aims to connect its advisors with a new generation of talent.
SEC provides road map for investment advisory firm examinations
'I can’t recall when they’ve been so explicit about what they do and why they choose a firm for examination,' a compliance expert says.
Wealth management firms need scale to help advisors thrive
Scale offers the solutions, capital and expertise entrepreneurial financial advisors need to serve their clients with distinction and build strong businesses.
Finra fines, censures New Jersey broker-dealer for violating Reg BI
Network 1 Financial Securities did not have a written system to identify and flag excessive trading, resulting in $533,500 in commissions for the firm, regulator says.
Another key executive to leave Goldman asset and wealth group?
The New York Post report comes after a string of executives have left the group in recent months.
How to Streamline Your Workday as a Financial Advisor
The answer is easy—but how do you actually do it? Commonwealth Financial Network and InvestmentNews Research worked together to create three must-read articles about how advisors can address three important aspects of their business so they can focus on what matters.
NASAA launches program letting advisors maintain licenses longer while out of industry
'As a mother of three young kids ... I am so pleased to see NASAA recognizing the need for some flexibility,' an advisor says.
Think twice: The cost of being out of the market
Some investors mistakenly believe they can achieve superior results by trying to time the market, but this approach inevitably leads to missed opportunities.
Stratos hires experienced wealth management exec as chief operating officer
The firm is moving into a new phase of growth and has hired a former LPL, Citi, and Capital One leader.
SEC’s first NFT enforcement action should give advisors pause, experts say
'This is further indication that NFT trading by advisors is not ready for prime time,' Ric Edelman says.
Pre-retirees favor advisors with national firm affiliation
Cerulli Associates research reveals how reliance on advisors rises as retirement approaches.
Goldman retreat from RIA market shows pitfalls of chasing varied clients
Bank's decision to refocus on super-rich shows how tough change can be for an institution like Goldman, say industry sources.
SEC spanks Wells Fargo Advisors with $35M penalty for excessive fees
Some Wells Fargo Advisors clients never got promised discounts, according to the regulator.
What clients want you to know about transferring wealth to their heirs
Raymond James poll reveals the priorities of handling intergenerational wealth transfers.
