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First Republic team managing $1 billion joins RBC
The trio of advisors will operate as the Todd Halbrook and Adam MacDonald Wealth Management Group in Newport Beach, California.
Nuveen gets new muni bond leader amid lawsuit settlement
As the firm announces a settlement of suits brought by Preston Hollow Community Capital, Nuveen announced that John Miller is retiring and will be replaced by Daniel Close.
The 5-minute rule for evaluating alternative investments
Advisors evaluating alts for their clients should focus on what clients want to achieve as part of a well-diversified portfolio and understand their clients' cash flow requirements.
Finra bars former LPL, RayJay rep who borrowed $850,000 from clients
Chattanooga, Tennessee-based William F. Winchester III was registered with LPL Financial from 2007 to 2012 and then with Raymond James Financial Services.
Financial advisors ignore succession planning at their own peril
Experts detail the nuances of navigating ownership transition plans, and it's rarely a straightforward and easy path.
3 effective ways for advisors to engage with, and win over, the next generation
Most financial advisors aren't prepared for the next generation, and many wealthy heirs will be looking to move.
Advisor Group to rebrand — more to follow
It's all part of the push by the private equity-owned network of independent broker-dealers toward an initial public offering.
Goldman ordered to pay $3 million for mismarking ‘short’ sales as ‘long’
Finra's action was another by the broker-dealer self-regulator that targets a best-execution failure by a member firm.
$10.8 billion First Republic team bolts to Morgan Stanley
The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.
Guiding clients through market volatility and inflation
When things change, recency bias would have us wait rather than move forward.
Millions flow to Girls Who Invest
Investment firms are re-upping their investment in college women through new donations to the summer immersion program.
Fintech guarantees it can help advisors convert at least one prospect in 90 days, or their money back
Elements provides a mobile Scorecard app that evaluates a prospect’s financial data and provides an evaluation score across 12 measurements.
Financial literacy starts at home
Treat staff like clients and inform them with the best thinking about financial planning. You'll help them achieve their goals — and yours.
Sustainable investing advocate US SIF names new policy director
The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.
LPL snags $850 million Securian team in wake of Cetera deal
Toledo, Ohio-based Financial Design Group has 14 advisors. Over the winter, recruiters had cited LPL as one of the firms likely to target Securian advisors.
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.
