The six-adviser team, Puzzle Wealth Solutions, is affiliating with LPL Financial through OSJ Gladstone Wealth Partners.
Democrats and trade groups representing investment advisers were mostly on board with the proposed mandatory climate-risk disclosures. However, Republicans and other interest groups opposed the measure.
Dalbar rates 401(k)s with up to five stars and tells plan sponsors what they can do to improve their plans on the basis of environmental, social and governance criteria.
Driving the recruiting overhaul at wirehouses over the past few years has been the tremendous expense of recruiting experienced financial advisers.
Gov. Greg Abbott signs a pro-oil and gas bill in the state's latest fight against ESG investing.
Addepar, a software used by advisers to track how investment portfolios perform across asset classes, raised an additional $150 million from New York City-based hedge fund D1 Capital Partners.
As clients were bombarded with social media messaging during the pandemic, advisers cut through the clutter by taking a more strategic approach.
Discussions on Capitol Hill go a long way to normalize and legitimize digital assets and a technology that could pave the way for sweeping change in the financial services industry.
As the two agencies release their regulatory agendas, the SEC is also proposing to revisit rules promulgated last year when the agency was headed by former chairman Jay Clayton.
RobustWealth, which includes digital advice, goal-based investment tools and client onboarding, will stop servicing advisers in September.
Law professor Renee Jones will run the agency's division of corporation finance, making her the first Black woman to lead one of the SEC's four major divisions.
CUNA Brokerage Services agreed to become a clearing and custody client at LPL. The firm has $36 billion in assets and close to 550 advisers who work at credit unions.
Covid has helped retirees focus on the importance of well-being over wealth. A new study shows that the timing and funding of retirement have shifted as a result of the pandemic and that retirees are paying more attention to the nonfinancial aspects of retirement.
For eight years running, the InvestmentNews’ 40 Under 40 program has honored superstars, like SEC Commissioner Caroline Crenshaw this year, as well as young professionals who are quietly building successful careers.
Bobby Conville Jr. and Earl Smith are joining the firm's employee unit in Ruston, Louisiana.
A phony cryptocurrency offering was one of Boca Raton, Florida-based Edgar Radjabli’s frauds, the agency charges.
New capabilities of asset manager will include central bank digital currency, blockchain and tokens.
The new class-action suits against the three employers allege fiduciary breaches. Two defendants in other cases recently reached settlements over $1 million.
Advisers remain wary of President Joe Biden's proposals to raise capital gains taxes, which face political obstacles in Congress. There’s almost no chance any Republicans will support the administration's tax proposals.
The investment bank is putting the finishing touches onto its $13 billion purchase of ETrade Financial, and has benefitted from ETrade’s direct, online access to a younger group of clients.
