Smaller firms can still flourish amid the rampant M&A activity, but they need to employ targeted client development and strategic outsourcing.
Legacy Financial Planning has offices in Rochester and Oswego, New York, and Naples, Florida.
It's safe to say that the more adept you are at selecting, implementing and utilizing the available technologies, the better off your practice and your clients will be.
The 90-year-old active management complex is launching 12 model portfolios that combine its active mutual funds with ETFs from Schwab, Vanguard and BlackRock.
Last year, the agency managed to examine about 16% of all advisors, but it aims to do more exams in 2023.
The pooled employer plan is going live as the Department of Labor's new ESG rule takes effect.
Spitzner spent 25 years in the industry, holding leadership roles at firms including Prudential Investments and Envestnet, before launching Wealth Consulting Partners in 2015.
Over two-thirds of non-retired investors say they may continue working after they retire.
The bill sails through House, 419-0, on a fast track. Its author, Rep. Ann Wagner, R-Mo., hopes the Senate acts this time around.
UBS reported that it had 6,245 financial advisors in the Americas region at the end of last year, little changed from 6,218 at the end of 2021.
Sabra Purtill succeeds Lyons as the insurer's interim CFO, while Turab Hussain was named interim chief actuary.
A legal challenge to the agency's rule on investments in retirement plans was inevitable, lawyers say.
As clients consider whether to relocate once they're retired, here's a ranking that takes into account 47 factors related to each state’s affordability, health care and overall quality of life.
A growing number of defined-contribution retirement plan participants are seeking guaranteed lifetime income products, according to a report from Greenwald Research.
Robert Levitt has traded Florida for the French Riviera, where he sees a wide-open market in the 250,000 Americans living there who need financial advice.
Broker-dealers are falling short in identifying and mitigating conflicts of interest, the agency said.
According to Robert Earl Turner's BrokerCheck profile, UBS has settled six disputes with his customers for close to $12 million.
Up 17% over the past three months, gold is turning heads as a potential hedge.
Jonathan Blakelock and six staff members are joining LPL from Ameriprise and will operate as Blakelock Financial Group in Kingwood.
The CEO's package includes $2 million in base salary and $23 million in variable compensation, with $16.1 million of that in the form of restricted stock units.
