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Tiedemann eyes M&A after SPAC deal forges $60 billion wealth firm
After completing a merger last week with Alvarium Investments through a blank-check company, the former banker is eyeing further deals.
Morgan Stanley operating chief Jon Pruzan exiting firm
The executive, who was once considered a potential CEO candidate, is leaving after a 28-year run.
January jump in divorces offers advisors opportunity to provide value
While divorce is a sad fact for families, it gives financial advisors the chance to prove their worth over a short, intense period.
Smoothie-throwing broker under microscope for cash transactions
Finra has made a 'preliminary decision' to recommend some type of disciplinary action against James Iannazzo, according to BrokerCheck.
The question most advisors aren’t asking clients about their financial future
Advisors should encourage clients to take an honest look at where they are in life, assess their priorities, reflect on their values, and align it all to their goals.
Arizona advisor managing $200 million joins LPL from Cambridge
David Dobrusin is both a CPA and a certified financial planner.
Two cheers for the SECURE 2.0 Act
Digesting everything in the new law will take some time as financial advisors will have plenty of interpreting and educating to do.
Don’t say ‘No’ to the ‘O’
InvestmentNews is no longer spelling “adviser” with an “e” but has aligned with the common usage of the industry by adopting “advisor.”
RMD quirks that IRA beneficiaries face in ’23
The provisions of the SECURE and CARES Acts, and the related IRS rules, are creating even more confusion about which beneficiaries are subject to RMDs this year.
Expect giant branch offices at IBDs to flex their muscle
There are plenty of private equity managers left who could still invest in large branch offices of independent broker-dealers.
Finding potential upside in markets and the economy
Market watchers take the long view in forecasting the year ahead because the immediate future looks dicey.
Here’s how inflation and philanthropy could give women a boost in ’23
Philanthropic goals are prompting women to become more involved in family asset management.
Handicapping sequence risk and recession for the retirement set
There will be a lot of recession chatter in the coming year and financial advisors had better be prepared for it.
Vanguard’s efforts to navigate politics of ESG could be blueprint for others
Last month's decision to exit the Net Zero Asset Managers Initiative puts Vanguard in a spotlight it was likely trying to avoid.
Vanguard expert offers tips on hardship withdrawals
Spiking inflation coupled with a sinking stock market have forced more investors to tap their retirement savings for cash.
Prime Capital buys sustainable investment RIA
North Carolina-based Earth Equity Advisors is a certified B Corporation and specializes in fossil-fuel-free portfolios.
EP Wealth acquires Maine firm managing $347 million
The acquisition of Cribstone Capital Management was EP Wealth's sixth deal of 2022.
Before FTX collapsed, it was targeting retirement accounts
The push to interest retirement savers in crypto was part of an effort by FTX Group to expand its base of everyday retail customers.
ESG has DOL’s blessing. Here’s what can happen next in 401(k)s
Target-date funds that are sustainable or responsible are fair game now for retirement plans, but there aren't many of them.
New regulatory agenda sets April, October deadlines for SEC ESG rules
The SEC also has custody and ETF regulations to tackle, while the Department of Labor continues work on the next iteration of an investment advice rule for retirement accounts.
