Nimesh Patel was named to the firm's newly created CTO position in February 2022.
The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration cases or the costs for claimants.
Frank McKiernan and Jerry Sneed are joining Procyon, a Dynasty Financial network firm, from Baker Tilly Wealth Management.
Owners of RIAs want higher prices for their firms now than they did between 2017 and 2019, the last time Fidelity did this study.
Financial advisor head count grew by just 2,579 advisors in 2022, while the failure rate among rookie advisors was more than 72%, according to a Cerulli study.
Employment at advisory firms also reached a record, while assets under management declined in 2022, according to an annual study by the Investment Adviser Association and National Regulatory Services.
Jennifer Campbell was office manager and chief compliance officer for a registered investment advisor in Buffalo, New York.
Robert Hamer is joining Stratos from Asset Management Group.
Some 85% of C-suite executives believe that organizations should require mandatory reporting of well-being metrics, according to a study.
The funding will be used to continue developing the firm's technology and to grow its RIA, Alternativ Wealth, through acquisitions.
The firm, with offices in Portland, Oregon, and Seattle, offers both wealth management and retirement plan services.
FolioBeyond's Rising Rates ETF is being renamed the Alternative Income and Interest Rate Hedge ETF.
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
Given the three dozen others that have filed for a bitcoin ETF without success, ETF watchers are wondering if BlackRock has an inside track to gain approval.
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
Marketplace combines hundreds of existing platforms run by providers of alternative investments into a single network.
The asset manager is banking on financial advisors' growing interest in targeted investment strategies.
Market watchers warn against falling for the head fake of a tech-driven stock market that isn't accurately reflecting broader economic risks.
