Despite payout rates and branding that suggest higher levels of support, the top brokerage firms are not meeting adviser expectations, according to a recent survey of over 3,000 advisers.
Innovator Defined Wealth Shield ETF offers 20% downside protection but caps annual gains at 2.8%.
The firm is buying Austin, Texas-based Trusted Capital Group, which has about 750,000 plan participants in its book of business.
The Portland, Maine-based tech firm provides governance and risk management solutions to clients in the asset and wealth management industries.
Joseph Myer has formed Veritas Capital Management in Ashburn, Virginia, and is affiliating with LPL through Gladstone Wealth.
The key for advisers is finding a balance where they maintain the maximum freedom that enables them to focus on their purpose.
Financial preparedness is only a piece of the equation; clients must understand the impact retirement will have on every part of their lives.
Parnassus Investments will continue to operate independently with CEO and CIO remaining in place.
The Indianapolis-based firm, formerly David A. Noyes & Co., agrees to censure, a fine and restitution.
The defendants succeeded in getting the case dismissed in 2018 at the district court level, a decision that was upheld by an appellate court in March 2020.
Flows into exchange-traded funds have been unprecedented this year, even against the backdrop of a record 2020. Despite market valuations and inflation threats, financial advisers are keeping the pedal to the metal.
2021 is the last year your clients can use their retirement funds for unlimited charitable giving as a result of provisions in recent tax laws.
As robos have become increasingly popular, their automated investing choices have come under greater scrutiny.
Legislation introduced by Reps. Anthony Gonzalez, R-Ohio, and Gregory Meeks, D-N.Y., would lift restrictions on closed-end funds' investments in unregistered securities.
The deal to buy Arizona- and Southern California-based MJM401k adds 100 retirement plans and eight employees to SageView.
The $250 billion RIA aggregator is adding Sonora Investment Management in Tucson, Arizona, and Collins Investment Group in Rockville, Maryland.
How can the financial advice industry know whether its attempts to hire more women, Blacks, Latinos and Asians are working if there is no accurate, unified measure of success or failure?
The same week that Finra levied a record $70 million penalty against the online trading app, Robinhood filed for an IPO Thursday, becoming one of the year's most high-profile listings.
The company said the SEC is looking at disclosures around the Schwab Intelligent Portfolios product, which had $64 billion in client assets at the end of March.
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