Ramiro Jose Sugranes of UCB Financial allegedly steered profitable trades to accounts controlled by his relatives.
Alicia Curtis and Jyl Barnard of Curtis Barnard Financial Services and Chris Dearing of Riverfront Financial share an office in Peoria, Illinois.
Five years ago, a new leadership team decided to focus on recruiting and retaining diverse employees and supporting diverse communities. The firm concentrated on two areas: increasing the number of women financial advisers and increasing racial and ethnic diversity.
Group says nonprofessional plan fiduciaries who oversee assets in pension plans, foundations, endowments and trusts often don’t understand their responsibilities
The survey also finds sense among women that their compensation has not kept pace with their experience and responsibilities.
Steward will use Goldman for assets held at Umpqua Investments, which it acquired recently.
Bitwise Asset Management draws backing from Henry Kravis, Stanley Druckenmiller, Daniel Loeb and other big names.
Enrolling working Americans in a government-sponsored retirement plan is a broadly popular idea.
The six-adviser team, Puzzle Wealth Solutions, is affiliating with LPL Financial through OSJ Gladstone Wealth Partners.
A wide-ranging conversation with Michael Kitces that covers niche practices, fees, brands and RIA valuations. Ben Harrison joins Jeff and Bruce to chat about the goings-on at Pershing, the Insight conference and custody issues.
