How to make your firm stand out from the competition
From having empathy to the right tech tools, advisors weigh in on how to make your firm stand out from the crowd.
One-third of healthcare workers aren’t confident about retirement
Despite 91 percent being in a workplace savings plan, uncertainty over saving, debt, and other issues are making healthcare employees doubtful.
WisdomTree woos more advisors with portfolio solutions offering
The firm is doubling down on its $3.5B model portfolios business with a fresh push to help enhance investment advisors’ practices.
Broker who took client funds for 17 years is barred
"A broker admitting that he has been ripping off clients for 17 years is beyond troubling," said one attorney.
Ether ETF aspirants take the starting blocks ahead of anticipated July approval
Earlier whispers of a fourth-of-July greenlight now look premature as the SEC gives applicants a new deadline.
BNY names new global head of investments and wealth
The Nuveen alum with investment experience from TIAA, AIG, and Merrill Lynch is set to join as longtime leader lets go of the reins.
Hints of jobs slowdown put Fed on the alert
Hints of impending weakness in the labor market add to the central bank's list of risks to manage.
California becomes 26th state to enshrine high school personal finance education
Under landmark bill signed by Governor Newsom, passing a personal finance course will be a high school graduation requirement by 2031.
Wealth Enhancement Group gets another foothold in Texas
The national independent’s growth continues in the Lone Star State with a $254M RIA led by an experienced advisor duo.
SEC charges Silvergate Capital Corporation, former execs with misleading investors
The firm and two individuals have settled, but CFO will fight to clear his name.
Kovitz set to exceed $24B AUM as new combination is announced
Focus Financial firm is preparing for another major tie-up.
How much income does the average American believe means financial security?
Spoiler alert: it's way more than most people make.
Wall Street weighs impact on bonds if Trump wins
Strategists urge investors to hedge against inflation.
More American homeowners locked into mortgage rates above 5%
Older loans at lower rates are being replaced by costlier borrowing.
Take profits on five-year Treasuries now says JPMorgan
Selling pressures are elevated due to multiple risk events.
SEC updates annuity disclosure rules for RILAs, MVAs
The amendments aimed at fostering a more tailored approach to disclosure for non-variable annuities sparked concerns for one dissenting commissioner.
Retirees spend twice as much when they have guaranteed income, research finds
Most people don't plan bequests and many unnecessarily cut back on discretionary spending in retirement, according to a paper from an industry group.
‘Roaring Kitty’ orchestrated GameStop pump and dump, class action alleges
A federal lawsuit against the famed meme stock influencer alleges he purchased 120,000 options before re-emerging to post about the company in May.
RayJay amplifies Las Vegas presence with wirehouse superteam
The ensemble joins the broker-dealer giant’s employee advisor channel after managing more than $1B at Morgan Stanley.
SEC boots California RIA linked to crypto, private funds
"Nobody knows what’s happening internally in these pooled funds at the retail level," said one plaintiff's attorney.
