Federal court freezes the assets of Marietta, Georgia, registered investment adviser John Woods.
The two advisers are affiliating with LPL Financial through its service for breakaway brokers.
For decades, the prevailing wisdom among recruiters and industry executives has been that wirehouse advisers are far less likely to move to independent broker-dealers than other advisers.
Bob Warner's focus on airline pilots is a model for how niche practices can develop and thrive. His $15 billion RIA has been building relationships with pre-retired pilots for more than two decades.
Tech providers must solve the lack of integration between software applications so advisers can find return on investment in high-quality tech investments.
Workers want better health care benefits once the pandemic is over, according to a survey by BrightPlan.
The Retirement Plan Exchange, which uses TAG Resources, is designed to reduce administrative headaches related to providing a plan.
Many RIA sellers who were already contemplating an exit in the near- to mid-term are likely to see the handwriting on the wall and scramble to complete their sales before the tax increase takes effect.
After 14 years as the firm's chief investment officer, Burt White is retiring in March, according to a company announcement. LPL, now with more than 19,000 affiliated financial advisers, is currently looking for a replacement.
The process of mining cryptocurrency sops up more energy than entire nations. Lawmakers like Elizabeth Warren, and billionaires like Bill Gates, have recently called attention to the environmental impacts.
Identifying skilled managers is difficult, and plan sponsors should be careful about choosing active management, an online book from the CFA Institute Research Foundation notes.
Productivity doesn't have to suffer when employees are not directly under the manager's thumb, according to recent research by the consulting firm DeVoe & Co.
When Louis Hanna was fired in 2017, he was 50 years old, had early-stage prostate cancer and was seeking medical leave, according to the complaint.
Fintech firms are betting the more than 6 billion text messages that are sent every day are a sign consumers are open to communicating with businesses via text messages.
Robert J. Mueller of San Antonio bilked nearly 300 investors over several years, the agency says.
Advisers must be able to offer exciting technology tools, while emotionally connecting with clients, according to industry experts.
The plaintiff allegedly lost $24,000 when the fund was removed from the plan and his assets were transferred to a target-date fund.
Advisers should be thinking about how best to shield their clients from the threat that climate change poses to investors’ returns — and the stability of the entire financial system — in coming years.
The in-person event was scheduled to take place from Sept. 27 to Oct. 1 at the Denton Convention Center in Denton, Texas.
The asset manager known mostly for its money market funds has high hopes for its late move into fast-growing exchange traded funds. The firm first filed plans to launch the fund 10 years ago.
