More than 4,000 advisers and brokers switched firms during the first quarter, up 11% from the first quarter of 2020. RIAs and IDBs continue to set the pace.
The addition of Meridian Group gives the firm a Roanoke, Virginia, footprint
The B-D's $1.3 million settlement with the regulator involves its failure to supervise adequately a complex series of transactions involving variable annuities and whole life insurance policies.
Group will join firm’s Deer Park, Illinois office in Chicago’s northwest suburbs
The Biden administration's record-setting government spending is seen as a path to higher inflation.
A system built around inaction shouldn’t expect people to become more involved with it, much less bear responsibility for keeping their accounts safe.
The portable city-run plan would not require employer contributions.
James Galkowski will open an office for the firm in Rochester, Minnesota.
DMJ Wealth Advisors, which has four offices throughout the state, will be renamed Beacon Pointe North Carolina.
The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.
The Berkshire Hathaway CEO attributed the faster-than-expected recovery to swift rescue measures by the Federal Reserve and the U.S. government.
Hype from retail and institutional investors on digital assets isn’t enough to sway skeptical advisers who are weighing the risk and reward of crypto before adding the asset class to clients' portfolios.
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A plan participant sued the company on behalf of the class in 2018, alleging that Lowe’s and the plan’s investment consultant, Aon Hewitt Investment Consulting, violated their fiduciary duties in connection with a fund on the plan menu.
The largest independent broker-dealer hit record asset levels as the advisory business continues to drive growth. Advisory assets increased by 54% on a year-over-year basis.
The five-member team is joining the firm’s Newport Beach, California office
The proposal would enable Americans to build retirement savings while repaying their student debt even if they can't afford to make their own contributions to a 401(k) plan.
With potential tax changes on the horizon, here are the IRA moves to make now.
The financial services firm is back in the ballpark for pay packages to experienced, employee financial-adviser recruits, according to its CEO. Recruiting bonuses are typically in the form of a percentage of an adviser’s annual fees and commissions.
The court found that the rule was unconstitutionally vague and gave the state too much latitude to find violations.
