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10 IBDs with the highest portion of female reps
Women are underrepresented in the advice industry, but at some independent broker-dealers, they make up a significant portion of the producing reps.
New technology helps advisers convert prospects into clients
Less than half of advisers are keeping track of how many of their prospects become paid clients.
Advisor Group adds two execs to leadership team
Dimple Shah is named executive vice president of corporate strategy and Iryna Northrip becomes chief compliance officer for investment advisory.
UBS loses $3.9 million claim linked to YES options strategy
A Finra arbitration panel ordered UBS to pay the clients $2.9 million in compensatory damages and $966,000 in attorneys' fees.
Dimon pay should be rejected by JPMorgan investors, proxy adviser says
Glass Lewis & Co. cited a 'disconnect' between the CEO's pay and the bank's performance; it's particularly concerned about the $52.6 billion in options awarded to Dimon in 2022.
Black investors prefer Black advisers. What happened to being ‘color-blind’?
The Ariel-Schwab Black Investor Survey quantifies a strong preference by Black investors to work with advisers who mirror their identities.
Avantax boosts recruiting bonus to add advisers
Providing hefty bonuses to recruit financial advisers is like a sugar rush: sweet at first but it comes with a downside.
Only men took the stage on first day of T3 conference
Of the 19 speakers scheduled to speak on the first day of the fintech-for-advisers event, only one was a woman.
Providing seamless digital experiences will help clients succeed in the long term
Advisers should provide a holistic, hyper-personalized view of a client’s entire financial life, complete with data-driven recommendations.
10 IBDs with the most CFPs
As the number of certified financial planners grows, here are the independent broker-dealers who employ the most CFPs.
The learning curve for new clients
It takes time to explain the investing approach to clients, and often those explanations don't stick.
Shundrawn Thomas resigns from Northern Trust Asset Management
The popular corporate leader will co-found a company that provides debt and equity to businesses run by women and minorities.
Advisers warn clients about ‘long, difficult bear market’
The old advice to 'sell in May and go away' is morphing into a duck-and-cover drill as advisers brace clients for a rough summer.
Climate disclosures should be mandatory, investors say
People trust climate data more often if companies are required to report it, a recent survey found.
Mercer Global Advisors adds $1.2 billion with latest deal
Mercer is acquiring HYA Advisors, an RIA based in Springfield, Missouri, as private equity money continues to drive RIA consolidation.
Advice-only fees gain traction as advisers opt out of managing client portfolios
Asset-based pricing still dominates in wealth management, but the trend is moving away from charging clients based on portfolio size.
Older advisers don’t have to fade away
There's lots of discussion about the aging of the advisory workforce and the need for succession planning, but an aging workforce can be an asset, not a problem.
Get schooled in the ABCs of ESG
The resources available to advisers who have an interest in the subject have grown, including certificate programs from the CFA Institute and the National Association of Plan Advisors.
Envestnet president Stuart DePina expected to depart
Speculation about DePina's future with the company has circulated since reports surfaced that Envestnet is exploring a sale to private equity.
Bond market ‘bloodbath’ opens a door for income investors
As fixed income suffers the brunt of the Fed's efforts to catch up on inflation, financial advisers suddenly have an alternative for short-term cash allocations.
