An Investment Adviser Association survey shows that for the second year in a row, the SEC advertising rule is the top compliance concern.
Alliant Wealth Advisors' qualified plans division will become a part of Savant’s retirement plan services division.
There have been exciting developments in terms of partner firms offering loans and equity options that can provide the capital advisers need to realize their business growth goals.
Technology can remove the human bias in investing, while also offering investors exposure to securities, but with reduced drawdown, minimized volatility and lower beta.
These plan designs can help small-business clients save big on their taxes while building their retirement nest egg.
The firm asked for a restraining order against 90-year-old Leonard Bernstein in Oklahoma County District Court Tuesday that would bar him from its offices and from any contact with former colleagues.
Jennifer Marcontell had been with Edward Jones for 22 years in Baytown, Texas.
The Certified Financial Planner Board of Standards Inc. issues 17 sanctions in its latest round of disciplinary actions.
Leonard Bernstein is accused of shooting his 61-year-old colleague multiple times in an Oklahoma City branch office.
A Goldman Sachs study details how life events can impede retirement savings and can have a significant impact on how much an individual saves for retirement.
The first half sell-off in both stocks and bonds has opened the door for annuities and those selling them.
For your three-day weekend reading, here's a recap of some of the adviser fintech news you may have missed.
The broker-dealer self-regulator's net income of $218 million was $199 million higher than in 2020, thanks to significant increases in trading fees, investment gains and fines.
Those who kept contributing accumulated the most, according to the Investment Company Institute and the Employee Benefit Research Institute.
Eliminating paper processes can reduce error rates, driving efficiencies for the firm and improving the customer experience.
Four years after being fired for sexual misconduct, Daniel Michalow wins his defamation case against the $60 billion hedge fund.
On the second anniversary of its going into force, the SEC chief is trying to get the most out of a rule he inherited.
Fintech company Pontera is continuing its partnership spree in hopes of giving more financial advisers the ability to manage client assets in held-away retirement accounts.
The award contains two unusual features: $500,000 in punitive damages to the clients and a two-to-one split decision among the three-person panel.
More than 87,000 employers have already registered for CalSavers, which launched in 2019.
