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High times for ultra-high-net-worth families
RIA NEWS SEP 25, 2018
High times for ultra-high-net-worth families

Average returns in 2017 double those in 2016, according to UBS and Campden survey.

SEC charges Wells Fargo adviser with defrauding clients out of $1 million
REGULATION, LEGAL & COMPLIANCE SEP 25, 2018
SEC charges Wells Fargo adviser with defrauding clients out of $1 million

SEC complaint: John Gregory Schmidt sold securities from seven of his clients to cover shortfalls in 10 other accounts.

New Jersey sets up rules to work around SALT deductions cap
RIA NEWS SEP 25, 2018
New Jersey sets up rules to work around SALT deductions cap

Property owners may receive tax credit of up to 90% on contributions to local funds.

Goldman adviser with $1.4 billion in client assets leaves to open own firm
RIA NEWS SEP 24, 2018
Goldman adviser with $1.4 billion in client assets leaves to open own firm

Gary Hirschberg's Aaron Wealth Advisors will partner with Dynasty Financial.

Bank-heavy ETFs see brisk demand amid rising interest rates
ETFS SEP 24, 2018
Bank-heavy ETFs see brisk demand amid rising interest rates

A steeper yield curve can help banks earn more on the money they lend out.

Making diversity intentional is first step to boosting inclusion
PRACTICE MANAGEMENT SEP 22, 2018
Making diversity intentional is first step to boosting inclusion

Diverse fintech firm offers advisers a lesson on how to be competitive for top talent.

Employer-based rainy day fund could help employees save for retirement
RETIREMENT PLANNING SEP 21, 2018
Employer-based rainy day fund could help employees save for retirement

Americans interested in hypothetical emergency savings program offered by employers.

Invesco said to be in talks to purchase OppenheimerFunds
MUTUAL FUNDS SEP 21, 2018
Invesco said to be in talks to purchase OppenheimerFunds

MassMutual's sale of the unit has been estimated to fetch $5 billion.

Calls mount for investors to sell high-yield munis
FIXED INCOME SEP 20, 2018
Calls mount for investors to sell high-yield munis

The return this year on high-yield state and government debt is about twice that on corporate junk bonds.

Orthodontists aren't smiling about teeth-straightening startups
RETIREMENT PLANNING SEP 20, 2018
Orthodontists aren't smiling about teeth-straightening startups

Companies like SmileDirectClub will correct misaligned teeth for much less money.