Advisor News

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Envestnet's Ron Ransom on the biggest challenges facing ESG
FINTECH JUL 20, 2022
Envestnet's Ron Ransom on the biggest challenges facing ESG

The provider of outsourced investment management and financial technology appointed Ransom as group head of ESG, a new role at Envestnet.

By Ryan W. Neal
Sharp exchanges at hearing illuminate debate on SEC's oversight of ESG
REGULATION AND LEGISLATION JUL 20, 2022
Sharp exchanges at hearing illuminate debate on SEC's oversight of ESG

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.

By Mark Schoeff Jr.
North Dakota shuts down small RIA selling crypto, weed investments
ALTERNATIVES JUL 20, 2022
North Dakota shuts down small RIA selling crypto, weed investments

Jeremy Carlson allegedly acted as an unregistered broker-dealer and salesperson, and engaged in fraudulent practices, according to the state's securities commissioner.

By Bruce Kelly
Confidence in retirement security dropping, inflation not helping: BlackRock study
RETIREMENT PLANNING JUL 20, 2022
Confidence in retirement security dropping, inflation not helping: BlackRock study

The investment giant's latest survey showed more women have concerns than any other group.

By Gregg Greenberg
Edelman Financial Engines launches workplace financial wellness platform
RETIREMENT PLANNING JUL 20, 2022
Edelman Financial Engines launches workplace financial wellness platform

Digital content, webinars, educational tools and access to an adviser are part of the offering.

By InvestmentNews
Two essential retirement guides for women
RETIREMENT PLANNING JUL 19, 2022
Two essential retirement guides for women

Financial planning pioneers share their experiences and wisdom on the challenges of retirement.

By Mary Beth Franklin
SEC enforcement will help ensure Reg BI delivers on investor protection: Grewal
PRACTICE MANAGEMENT JUL 19, 2022
SEC enforcement will help ensure Reg BI delivers on investor protection: Grewal

The first Reg BI enforcement action, filed last month, won't be the last, division director Gurbir Grewal told lawmakers.

By Mark Schoeff Jr.
LPL hires former BNY Mellon exec to head banking
INDEPENDENT BROKER DEALERS JUL 19, 2022
LPL hires former BNY Mellon exec to head banking

Bill Sappington will lead efforts to build the IBD’s banking and lending platform.

By InvestmentNews
Eight advisers managing $355 million affiliate with Kingswood US
RIA NEWS JUL 19, 2022
Eight advisers managing $355 million affiliate with Kingswood US

Two advisers came from Merrill Lynch, others from independent brokerages.

By InvestmentNews
Help business owner clients protect their greatest asset: Their people
OPINION JUL 19, 2022
Help business owner clients protect their greatest asset: Their people

As more and more workers quit their jobs, advisers can help business clients understand the risks associated with losing talent.

By Juan Jose Perez
Equitable settles with SEC for $50 million over misleading annuity statements
RETIREMENT PLANNING JUL 19, 2022
Equitable settles with SEC for $50 million over misleading annuity statements

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.

By Gregg Greenberg
Mariner boosts focus on breakaways by acquiring Financial Services Network
RIA NEWS JUL 19, 2022
Mariner boosts focus on breakaways by acquiring Financial Services Network

The deal adds $26 billion under advisement and more than 400 advisers to Mariner's existing back-office platform.

By Jeff Benjamin
True North and RightSize merge into Visory
FINTECH JUL 18, 2022
True North and RightSize merge into Visory

The two companies had competed on providing cybersecurity and technology management for independent registered investment advisers.

By Ryan W. Neal
Merrill Lynch follows through on hiring financial advisers despite tough market
PRACTICE MANAGEMENT JUL 18, 2022
Merrill Lynch follows through on hiring financial advisers despite tough market

Meanwhile, Bank of America, like other large financial institutions that employ advisers, is facing regulatory scrutiny over employees' communications.

By Bruce Kelly
Alera Group acquires $500 million retirement plan adviser
RETIREMENT PLANNING JUL 18, 2022
Alera Group acquires $500 million retirement plan adviser

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.

By InvestmentNews
SEC proposal would help shareholder resolutions
REGULATION AND LEGISLATION JUL 18, 2022
SEC proposal would help shareholder resolutions

Proposal filers and proxy advisers want the regulator to do more.

By Emile Hallez
The latest in financial #AdviserTech — July 2022
FINTECH JUL 18, 2022
The latest in financial #AdviserTech — July 2022

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.

By Michael Kitces
Fintech Bytes: eMoney partners with Nationwide, Onramp closes funding
FINTECH JUL 15, 2022
Fintech Bytes: eMoney partners with Nationwide, Onramp closes funding

A roundup of the week's fintech developments, including news from eMoney, Onramp Invest, Tifin, Panoramix and iCapital.

By Ryan W. Neal
Signs of stability, finally, at Wells Fargo Advisors?
PRACTICE MANAGEMENT JUL 15, 2022
Signs of stability, finally, at Wells Fargo Advisors?

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.

By Bruce Kelly
Naureen Hassan brings deep tech expertise to guide UBS digital shift
FINTECH JUL 15, 2022
Naureen Hassan brings deep tech expertise to guide UBS digital shift

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.

By Ryan W. Neal