Financial services companies have generally adopted remote work policies, but as offices reopen, the next issue becomes who is and isn't vaccinated.
Only 16% of advisers are women, while 3.8% are Hispanic, 2.6% are African American and 2.1% Asian, according to a study by Cerulli Associates and the Investment Adviser Association.
After its acquisition in July 2019, United Capital became Goldman Sachs Personal Financial Management division, combining the then-RIA’s emphasis on getting personal with the Wall Street bank's 150-year legacy. The Personal Financial Management unit is growing via acquisitions and Joe Duran outlines how advisers can benefit.
A new Morningstar report presents proxy voting as a backdoor entry to ESG investing for retirement plan participants. As advocates pressure for simpler proxy voting procedures, retail investors could gain considerable leverage.
Robo-advisers could be entryways for new market participants to gain access to crypto investing, while advocates wait for regulators to make a decision on a Bitcoin exchange-traded fund.
Connecticut-based Future Benefits Inc. serves more than 400 wealth management and retirement plan clients.
The purchase of Sullivan Bruyette Speros & Blayney will add $5 billion in AUM to the $76 billion firm.
More than 4,000 advisers and brokers switched firms during the first quarter, up 11% from the first quarter of 2020. RIAs and IDBs continue to set the pace.
DMJ Wealth Advisors, which has four offices throughout the state, will be renamed Beacon Pointe North Carolina.
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Financial advisers continue to recommend hefty cash reserves yielding almost nothing and losing ground to inflation, under the premise that safety trumps yield.
Castle Wealth Advisors, founded by Gary Pittsford, is the oldest fee-only adviser in Indiana.
The number of carriers on its RIA custodial platform increased to 20 from seven and the number of fee-based products rose to 70.
RIAs will be at the center of a great deal of our coverage and content over the coming weeks, and we even have Hall of Fame quarterback Steve Young on the agenda.
It is no wonder, but certainly disappointing, that one of the industry’s most innovative providers, Prudential Retirement, is reportedly exploring a sale. That highlights how much record keeping has become a commodity focused on scale and costs.
The timing of those questions, such as 'are you a fiduciary?' is not great for advisers relying on the DOL’s temporary enforcement policy until Dec. 20, the compliance deadline for the new rules, one lawyer said.
The surge in activity following the pandemic-induced lull is winding down as M&A returns to normal, according to DeVoe & Co.
D.R. Saur Financial will be integrated into Beacon Pointe’s Plano, Texas, office.
The deal, which is expected to close this summer, pushes Akron, Ohio-based Sequoia's assets under management over the $7 billion mark.
Martin Silver of International Investment Group in Long Branch, N.J., will pay penalties to be determined.
