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Sustainable fund advisor Mirova US gets new CEO
Zineb Bennani has worked for parent firm Natixis since 2005.
Potential investor claims go through the roof at Berthel Fisher
Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.
Top 10 financial advice firms ranked by investor satisfaction in 2023
Investors’ happiness with their advisors took a hit last year as the stock market dived, according to J.D. Power’s annual survey.
A different kind of financial literacy
An advisor’s plain-language explanation of financial system intricacies can help allay fears, keep emotions under control and inform better decision-making.
Custody, compliance and tech lay the foundation for going independent
An expansive network of platforms and services has evolved that's designed to support breakaway brokers.
Andy Sieg leaves Merrill to rejoin Citigroup
He is being replaced at Merrill Lynch by Lindsay Hans and Eric Schimpf, who have been appointed presidents and co-heads of Merrill Wealth Management.
Women gaining traction on investing results, intentions
Women achieve better results than men when they make direct investments.
As RIA industry swells, advisors discover pros and cons of growth
According to the latest report from Schwab Advisor Services, RIAs need to jump on the growth train in order to keep pace.
Cetera to advisors: Selling your practice requires our OK
If financial advisors don't seek the firm's approval, they risk running afoul of securities regulators, Cetera said.
Credit Suisse still helping Americans dodge taxes, Senate panel says
The committee uncovered 'major violations' of the $2.6 billion plea deal Credit Suisse reached with the Justice Department in 2014, according to a report.
SEC faults new advisors for compliance shortcomings
The agency's examinations found programs weren't tailored to business models and were inadequately funded.
First Republic sees more financial advisors walk
The San Francisco-based Marchetti Porter Wealth Partners jumped ship over the weekend.
Envestnet adds three board members to avert proxy contest
Lauren Taylor Wolfe, co-founder and managing partner of activist hedge fund Impactive Capital, has joined Envestnet’s board.
3 reasons advisory firms don’t grow
Some advisors are happy with the status quo, while others dislike the challenge of finding new clients.
Franklin Templeton makes ESG hire from CalPERS
James Andrus had been at the pension system since 2014 and most recently served as its interim managing investment director for sustainable investing.
Look before leaping onto platforms offering elevated FDIC-insured deposits
Fintech firms are falling over themselves to court cash deposits, with both Betterment and SoFi announcing expanded FDIC coverage over the past week.
Welcome to the golden age of AI
For financial advisors, artificial intelligence can lead to deeper insights as AI models parse massive data sets, seeking meaningful patterns and signals amid millions of data points.
Citi sues advisor who jumped to Morgan Stanley over $636 million book
Citi alleges Steven Taub is violating a 12-month nonsolicitation agreement and has already convinced clients to move more than $100 million.
Picking an advisor who will stand the test of time
Cultivating loyalty with both members of a married couple requires that the advisor follow the same approach that leads to a successful marriage.
Former advisor, financial planner charged with defrauding NBA players
Four people face federal indictments in the scheme, and the former advisor is being charged by the SEC.
