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Study finds US women reach retirement with 75% of men’s wealth level
The report found that women in senior expert and leadership roles were found to have 62% of the accumulated wealth that their male counterparts enjoyed at retirement.
Advisers continue to wrestle with SEC marketing rule now in force
It's D-Day for the regulation that gives advisers latitude to use client testimonials to promote their practices.
SEC seeks more input on Finra proposal to allow supervision from home offices
State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection.
The RIA’s secret to organic growth
Increasing your investment in marketing can boost organic growth, especially during a downturn. Here’s how to do it while keeping return on investment in mind.
CFP Board sanctions 13 planners
Five are censured, three suspended, three revoked and two barred by the Certified Financial Planner Board of Standards Inc.
Finra extends remote inspections through 2023
The regulator wants to provide relief from in-person supervision until the SEC rules on a pilot program for online oversight.
Wells Fargo Advisors keeps focus on simpler pay plan for advisers in 2023
In a break with tradition, the firm is introducing next year's pay plan for its 12,000 advisers earlier this year.
Oppenheimer moves to cancel $36.7 million arbitration decision
While the firm filed a motion to vacate the award in Superior Court in DeKalb County, Georgia, it's extremely rare for courts to overturn Finra arbitration decisions.
Twitter hysteria over Musk ownership has advisers reassessing value of the platform
As the $44 billion acquisition sparks extreme reactions for and against the new owner, fintwit considers whether tweeting is still worth all the fuss.
LPL sees demand for yield products amid down market
Commission revenue for fixed-income investments and annuities increased in the third quarter at LPL.
Some advisers welcome increased regulatory scrutiny of outsourcing
A fiduciary mindset when vetting third-party providers should keep them out of trouble, some say. But there are concerns about the regulatory costs entailed for small firms.
International CFP standards group names new CEO
Dante De Gori served previously as the chief executive officer of the Financial Planning Association of Australia.
Merrill adds premium outside manager service
The service allows the firm's high-net-worth clients to use a variety of third-party asset management firms.
Shared responsibility for winning diverse talent and clients will reap shared results
Cultural competency is within reach even as the profession persists with its long-term initiatives.
Raymond James shares pop on strong wealth management earnings
The firm reported 8,681 financial advisers at the end of September, an increase of 199 compared to the same time last year.
Financial services firms leave billions on the table by overlooking women investors
A report details unique needs and investing perspectives of women and estimates that failing to tailor products to their needs cost the industry about $14 billion last year.
Ameriprise reports more adviser hiring in third quarter
The company continued to increase revenue per adviser despite the headwinds of the currently stormy stock market.
How advisers should navigate this bear market
Guiding jittery clients through rough financial patches is one of the most important things advisers do, but they need to keep themselves from being emotionally drained by the effort.
Overlooked and underestimated, Asian women are more than ready to advance in the advisory industry
Asian women want and deserve more opportunities to prove their worth as experts, leaders and rainmakers.
Rising above minutiae can offer new view of opportunities
When considering a move, it’s critical to strike the right balance between satisfying specific, objective criteria for immediate needs while taking a wider perspective of longer-term goals and shared values.
