The provider of outsourced investment management and financial technology appointed Ransom as group head of ESG, a new role at Envestnet.
GOP lawmaker grills SEC Enforcement Director Gurbir Grewal on how the agency can crack down on ESG when there's no regulatory definition of ESG.
Jeremy Carlson allegedly acted as an unregistered broker-dealer and salesperson, and engaged in fraudulent practices, according to the state's securities commissioner.
The investment giant's latest survey showed more women have concerns than any other group.
Digital content, webinars, educational tools and access to an adviser are part of the offering.
Financial planning pioneers share their experiences and wisdom on the challenges of retirement.
The first Reg BI enforcement action, filed last month, won't be the last, division director Gurbir Grewal told lawmakers.
Bill Sappington will lead efforts to build the IBD’s banking and lending platform.
Two advisers came from Merrill Lynch, others from independent brokerages.
As more and more workers quit their jobs, advisers can help business clients understand the risks associated with losing talent.
The SEC said Equitable had provided false statements to 1.4 million variable annuity customers, most of whom were teachers or other public school employees.
The deal adds $26 billion under advisement and more than 400 advisers to Mariner's existing back-office platform.
The two companies had competed on providing cybersecurity and technology management for independent registered investment advisers.
Meanwhile, Bank of America, like other large financial institutions that employ advisers, is facing regulatory scrutiny over employees' communications.
DFG 401(k) Advisors, which is based in Phoenix, is joining Alera through its Benefit Commerce Group and will now operate as BCG 401(k) Advisors.
Proposal filers and proxy advisers want the regulator to do more.
This month's roundup looks at Schwab's $187 million settlement with the SEC, Bento Engine's funding round, and RIA In A Box's launch of a RolloverAnalyzer solution.
A roundup of the week's fintech developments, including news from eMoney, Onramp Invest, Tifin, Panoramix and iCapital.
Annualized revenue per financial adviser increased at Wells Fargo Advisors, according to second-quarter earnings, even though the market tanked during the first half of this year.
Hassan, who will succeed Tom Naratil as president of UBS Americas, has served as Morgan Stanley’s chief digital officer and led the launch of Schwab’s robo-adviser.
