Ex-Raymond James advisor makes comeback at LPL
The three-decade veteran in Texas is returning to the broker-dealer giant’s network as he looks to solidify his succession planning.
Suit challenges SEC market surveillance tool as unconstitutional
The Texas lawsuit accuses the SEC of acting without authority to create the Consolidated Audit Trail, a database that would collect virtually all US trading data.
Ascensus buying Vanguard small-business retirement offerings
The company is acquiring the Individual 401(k), Multi-SEP, and SIMPLE IRA plan businesses from Vanguard.
Envestnet shares up 9% as reports suggest it’s in talks to sell to PE
Wealth management technology company has reportedly hired Morgan Stanley as advisor.
Rents still rising but investors are seeing slower annual increases: CoreLogic
Latest CoreLogic Single-Family Rent Index reveals where rents are increasing the most.
Stocks gain as focus shifts from rates to earnings
S&P futures up 0.3% on hopes of a rebound after three days of losses.
US yields at highest since November, enticing opportunist buyers
Despite negative sentiment, some investors are seeing potential.
Morgan Stanley downplays AML scrutiny for wealth clients
CEO says it's nothing new to be talking to regulators.
Global regulators want to bolster hedge fund protections
Proposals would help funds cope with market stress.
Fintech takes aim at industry’s texting-breach plague
Serial fintech entrepreneur Larry Shumbres leads the veteran leadership team launching an AI-powered compliance solution.
UBS reportedly faces $20B capital hit under proposed Swiss reforms
The Swiss Finance Minister wants systematically important lenders to have full capital backing against their foreign units.
California-based Dunham unveils retirement income program
Service aims to help advisors with retired and pre-retiree clients with an algorithmic strategy, tailored portfolios, and back-office support.
Women are struggling with health and wealth woes
Second-year poll of adult women shows financial and health-related concerns, with bipartisan support for federal policy solutions.
Disabled vets are falling through cracks of workplace plans
New research exposes financial vulnerability among vets with disabilities, with most wanting support on group retirement plans and HSAs.
30 percent of management’s time should focus on organic growth, Duran says
Entrepreneur kicks off InvestmentNews’ RIA Activate with message to business leaders before industry executives discuss how to attract NextGen advisors.
How advisors can become forward-thinking on taxes
'Clients tend to care more about saving on taxes than maximizing their returns,' an advisor says.
Powell indicates delay in Fed rate cuts
The Fed chair said that if price pressures persist, the central bank can keep rates steady 'as long as needed.'
Workers deserve better on benefits, tech firm says
Amid concerns on health care costs and retirement savings, report questions status quo approach of offering more education and benefits.
Fiduciary Institute shapes next-gen advisors with leadership course
The program seeks to build on the vision articulated by industry icon Dick Wagner.
Advisor attrition dropping at Merrill Lynch
Although departures of financial advisors may have slowed at certain large firms, that doesn't mean the problem's been squelched.
