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CFP Board, Foundation for Financial Planning partner on pro bono
The two financial planning organizations will work together to make pro bono opportunities, training and resources available to all CFPs.
Former LPL exec Bill Morrissey to head Atria’s independent channel
The private equity-backed firm operates six broker-dealers, including Cadaret Grant, NEXT Financial and Western International Securities.
Group of veteran-owned firms participating in BNY deal
The eight broker-dealers are participating in the firm's offering of $750 million in senior bank notes.
A Pivotal Moment to Invest for Growth
Forward-thinking advisory firms are devoting resources now to attract more clients and win top talent.
Finra spanks Morgan Stanley over sales of high-risk stocks
The Finra penalty included a fine of $200,000 and restitution to clients of $498,000 plus interest.
How do you keep client risk tolerance stable as markets gyrate?
Counterintuitively, advisers can instill a sense of calm in clients and attract new clients to the firm by inviting a risk-focused conversation into the room.
Higher yields on cash give advisers another asset allocation tool
The Federal Reserve's fight against inflation has turned boring cash accounts into top performers.
Apparent detour opened new career path
Gaining the CFP designation became the fulcrum for a midcareer pivot, but earning it wasn't easy.
One woman’s vision to empower women clients transcends tragedy
The Lucy Shair Foundation for Women in Finance seeks to reduce the gender gap by neutralizing one barrier to establishing a firm of one’s own: lack of seed capital.
First-generation women crave personal investment to spark vision
It is imperative that we not let women miss out on a profession that can provide purpose, financial stability and a path towards a balanced life.
Financial advice is the midlife job that women want – but don’t know exists
In the past two years, American women have had a collective epiphany: They want to trade in their current careers for something different and better.
Midcareer women benefit from the rise of the returnship
A little effort delivers big results when firms build on-ramps for women who want to re-enter the workforce.
How Advisory Firms Can Maintain Momentum in an Uncertain Environment
Practices reported significant gains during 2021. But as markets become more volatile, they’ll need to adapt in order to keep growing. Learn where they should focus their efforts—and capital.
JPMorgan to give all new parents 16 weeks of leave
The firm will also increase employees' sick days and bereavement leave, according to an internal memo.
Morgan Stanley’s richest clients being offered Tiger Global venture fund
The investment firm has tapped Morgan Stanley's wealth management arm as it seeks to raise $6 billion for its next venture fund.
Colorado revisions to financial planning guide don’t quiet a critic
The state is concerned that fee-for-service financial planners aren't aligning their charges with work done for clients. Michael Kitces said the guidance remains biased toward the AUM model.
Strategies for continuing to diversify the wealth management industry
Panelists at the Women Adviser Summit in New York City say firms need to rethink how they look for new talent if they're serious about increasing diversity in the industry.
Ritholtz Wealth Management hires its first company president
Jay Tini joins Ritholtz from Vanguard, where he was divisional sales manager, for his first job at an RIA.
Study points out barriers to success of women advisers
Nearly three-quarters of respondents to a Carson Group survey note that women must juggle professional responsibilities with caregiving obligations.
SEC officials tell advisers to put clients’ interests first, tell truth in ads
A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.
