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Turning an ESG Conversation into E, S & G Conversations
As responsible investing continues to increase in popularity, focusing on specific E, S and G elements rather than ESG as a category may allow advisors to better serve clients.
Closing the gap: New network sees potential in client care circles
Collaboration between complementary professionals is a missing link for many clients, who are expected to patch advice from various professionals into a comprehensive plan.
5 client personas advisers need to know to build wallet share
It's important for advisers to understand how the emotions of clients can dictate whether and when they'll give you more assets to manage.
Finra slaps UBS with $2.5 million fine over short-selling violations
It's the second time in as many weeks that Finra has penalized a firm for such trading problems.
Savant Wealth Management acquires two Iowa-based financial firms
The deals push Savant's assets to $12.4 billion while moving it forward on its five-year growth plan.
Concourse Financial names David Perry CEO
Perry, who most recently served as the firm's chief operating officer, succeeds Doyle Williams, who is returning to parent company Protective Life.
Mercer Global Advisors adds $1 billion with deal for Goldstein Munger
The San Ramon, California-based family office has a history dating back to 1979.
Merrill launches matchmaking service to connect investors and advisers
The firm is positioning Merrill Advisor Match as a modern solution for investors who are looking for financial advice.
FPA offers course on planning psychology
The nine-credit on-demand program includes seven hours of video instruction and focuses on how financial planners can build deeper relationships with clients.
Advisers and clients slammed by Hurricane Ian
Florida, full of retirees looking for sunshine and low state taxes, is also densely populated with financial advisers.
People of color getting less financial advice than a year ago
An Allianz survey finds that African Americans, Hispanics, Asians and Asian Americans all saw a decline in the portion consulting with a financial professional in 2022.
LPL offers advisers access to broker-savvy bookkeepers
The bookkeeping service, which aims to boost advisers' efficiency and productivity, follows LPL's offering earlier this year of a paraplanner service.
The opportunity presented by middle-class millionaires
Instead of pursuing ultra-high-net-worth clients, more advisers should target the largest group in need of wealth management advice in America.
Wedbush Securities hit with $900,000 fine for trading problems
The Los Angeles-based firm has had a history of failing to supervise certain trades that resulted in scrutiny from regulators and penalties.
Recharging your brain with a sabbatical
Sometimes employees need an exodus from the professional grind that will give them some rest and time for fresh thinking, and even allow them to fulfill pursuits that have nothing to do with work.
Kane voted FPA 2023 president-elect
George Fernández was elected to replace Kane as the Financial Planning Association's treasurer.
Wall Street banks hire WhatsApp cops after being hit with big fines
In court documents, the SEC described at least a few senior managers at each firm who engaged in rampant texting with colleagues and clients.
Former Northern Trust exec Shundrawn Thomas launches private equity firm
Thomas is partnering with former Bank of America credit specialist Anthony Hoye to provide financing to minority and women-led businesses.
$13 billion branch office to leave Raymond James
Large branch offices of independent broker-dealers like Concurrent Advisors increasingly are flexing their muscles and either adding on new custodians or spinning off on their own.
How digital platforms can be more accessible to minority investors
Research uncovered three ways that investing platforms can foster a more inclusive and accessible environment for those living on a low to moderate income.
