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LPL crosses 20,000 adviser head count, probes small-firm M&A market
When it comes to mergers and acquisitions, "it’s smaller broker-dealers and RIAs that may be an opportunity," CEO Dan Arnold said.
Cetera creates preprogrammed client events for advisers
Trivia night is one of a number of themed events that advisers can offer clients either in person or virtually.
Increasingly depressed employees batter bottom lines, study says
71% of employers feel the deteriorating mental health of their workforce is having a negative financial impact on the company.
Onyx poised to launch with dual differentiators: Diversity and cost efficiency
The new network offers a deliberately diverse structure for practices at a time of widespread discontent with workplace culture.
Prospera creates program matching practice buyers, sellers
The Advisor Practice Exchange Program program includes a dedicated consultant to help advisers navigate the buying or selling process.
Raymond James eyes interest rates, hits new high on adviser head count
'We should have significant upside from rising short-term interest rates,' said Paul Shoukry, the firm's chief financial officer.
BlackRock pushes three investing themes
The asset manager says the new consumer, an industrial renaissance and medical innovation are areas where changes have exposed 'underestimated investment opportunities.'
Finra dings Berthel Fisher for poor supervision of options trades
Finra said last summer that it was launching an examination sweep probing the opening of options accounts.
Robinhood cutting 9% of full-time staff as ‘hyper growth’ ebbs
The online brokerage, which has racked up more than $2 billion of losses since its IPO, had about 3,800 employees at the end of last year.
Edelman hires Goldman exec as CFO
Suzanne van Staveren will work on Edelman Financial Engines’ long-term growth strategy and financial objectives.
In race to digital transformation, wealth managers need to catch up
It's never too late so long as they commit themselves to remaking their firms with technology, and funding the investments needed to pull it off.
Ameriprise keeps hiring advisers
For the 12 months ending in March, the company reported a net increase of 188 financial advisers, or a 1.8% gain.
FPA brings back virtual externship program
This is the third summer the FPA has offered the program, which fosters new talent and entrants into the profession.
The most seasoned advisers show no signs of slowing down — or retiring
A passion for the work drives some financial advisers to stay on the job well past traditional retirement age.
CFPs take annual fee increase in stride
Many planners support the strategic intiatives, such as an awareness campaign and diversity effort, the higher fee will fund. Others caution the more expensive mark could cause some pain.
Independent paths for advisers managing more than $500 million
Here are the four options that provide the highest level of freedom and control for advisers managing more than $500 million.
LPL creates paraplanning unit to help advisers build plans
Team of paraplanners will gather data and input it into planning software to provide financial plans for advisers' clients.
Finra bars no-show rep fired for fake account statements
The rep, Philip Riposo of New Bedford, Massachusetts, admitted to creating and providing clients with phony statements.
Lessons from journalism: Pay your diverse talent
It’s important that we avoid the pay perils of journalism and make good on our promise to help diverse individuals build generational wealth.
Into the metaverse
Financial services firms are hanging out their shingles in the burgeoning world of virtual societies, hoping to attract a new breed of digitally native customers.
