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David Lerner’s latest proprietary fund snag
The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.
New regulations for the new reality
Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
Finra taps executive for board chair
Eric Noll, the CEO of Context Capital Partners, first joined the Finra board in August 2020.
CFP Board imposes interim suspension on barred rep
Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.
Geoffrey Brown stepping down as NAPFA CEO
The association's board will engage an interim CEO while it searches for a permanent successor.
The latest in financial #AdviserTech — August 2022
This month's roundup looks at Envestnet's acquisition of Redi2, Catchlight's new system to assess prospects and AssetMark's deal for Adhesion Wealth.
Creative Planning acquires $5 billion Wipfli Financial Advisors
The deal is the firm's third-biggest transaction to date, and CEO Peter Mallouk says M&A activity is ramping up because most RIAs aren't growing organically.
Wall Street banks’ record fines reflect regulators’ frustrations over unmonitored messaging
SEC, CFTC worried that messages were being completely lost and would ultimately make it harder to look for wrongdoing.
Fleming’s Rockefeller plans to double number of adviser teams
The firm, which currently has 85 teams, is focusing on growth in places that have seen influx of wealthy residents in recent years, such as Charlotte, North Carolina, and Austin, Texas.
B-D advisers had a soft landing in the first half, despite bear market
The S&P 500 was down almost 21% over the first six months of the year, but financial advisers at big firms didn't crash and burn.
Retooled scorecards will better measure women-led results, says new book
Women asset managers and corporate leaders assess risk and opportunity over a longer time frame, justifying new methods of measuring their results.
CFP Board cites 66% pass rate at July exam
Just 7% of the 2,596 people who took the CFP exam in July did so remotely.
Maximize your firm’s value by leveraging a next-gen adviser
Whether you oversee a large enterprise or you’re a one-person shop, the more completely you can replace yourself prior to the start of negotiations, the better terms you’ll receive.
eMoney names Susan McKenna permanent CEO
The executive had been appointed interim CEO in March after former CEO Ed O’Brien announced he was returning to Fidelity to lead institutional technology.
Cambridge Investment elevates three to office of the CEO
Colleen Bell, Jeff Vivacqua and Seth Miller become presidents of their respective divisions as part of a new organizational structure.
Guiding pre-retirees through the emotional transition to retirement
Carson Wealth's Jason Juhl is tapping his retired clients to mentor those clients moving toward the 'next chapter.'
Counseling young lawyers on cash flow management
L.J. Jones found his niche by observing the challenges faced by his wife and her law school classmates.
CFP Board hits three advisers with suspension
One adviser faces charges of dealing in child pornography, according to the Certified Financial Planner Board of Standards Inc.
Wealthy clients mostly avoid new taxes as spending bill nears finish line
Legislation that last year contained a litany of taxes on high earners has been whittled down to a bill with a few corporate tax provisions.
Matthew Boersen elected chair-elect of CFP Board
The Grand Rapids, Michigan, planner will serve a one-year term and become chair of the board in 2024.
