Advisor News

Displaying 26701 results
Rockefeller Capital woos Morgan Stanley team managing $500 million
PRACTICE MANAGEMENT SEP 11, 2020
Rockefeller Capital woos Morgan Stanley team managing $500 million

The five-person Moore Group will join the firm’s office in Dallas

By InvestmentNews
Brokerages push to extend delay of on-site inspections
PRACTICE MANAGEMENT SEP 11, 2020
Brokerages push to extend delay of on-site inspections

Remote oversight is starting to change the concept of supervision

By Mark Schoeff Jr.
Closed B-D means more unpaid investor claims
ALTERNATIVES SEP 11, 2020
Closed B-D means more unpaid investor claims

Capital Financial Services is shutting down, leaving clients on the hook

By Bruce Kelly
Former Stifel broker ordered to pay $385,536 for fraud
REGULATION AND LEGISLATION SEP 10, 2020
Former Stifel broker ordered to pay $385,536 for fraud

SEC complaint charged Steven Rodemer with stealing funds from elderly client

By InvestmentNews
Texas revokes license of rep for  Woodbridge Wealth sales
REGULATION AND LEGISLATION SEP 10, 2020
Texas revokes license of rep for Woodbridge Wealth sales

Kim Diane Butler breached fiduciary duty by receiving $300,000 in commissions on the sales

By InvestmentNews
401(k)s were considering annuities -- then COVID-19 hit
RETIREMENT PLANNING SEP 10, 2020
401(k)s were considering annuities -- then COVID-19 hit

The pandemic has shifted plan sponsors' priorities, according to a survey from T. Rowe Price

By Emile Hallez
Impact of raising the Social Security taxable wage base
RETIREMENT PLANNING SEP 10, 2020
Impact of raising the Social Security taxable wage base

Taxing more earnings would improve the finances of the Social Security trust fund; it might also boost benefits

By Mary Beth Franklin
Q&A: WealthConductor CEO Sheryl O'Connor
RETIREMENT PLANNING SEP 10, 2020
Q&A: WealthConductor CEO Sheryl O'Connor

The fintech's leader talks retirement savings software in the age of COVID-19 and what the industry lacks in gender equality

By Nicole Casperson
Wells Fargo adviser managing $500 million goes indie with LPL
INDEPENDENT BROKER DEALERS SEP 10, 2020
Wells Fargo adviser managing $500 million goes indie with LPL

Anthony Frigoletto forms River’s Edge Wealth Partners in Red Bank, New Jersey

By InvestmentNews
UBS suggests wealth clients opt for sustainable investing
RIA NEWS SEP 10, 2020
UBS suggests wealth clients opt for sustainable investing

Firm says ESG portfolio can provide similar or better results than traditional investments

By Bloomberg
Captrust acquires retirement business of Plante Moran
RIA NEWS SEP 10, 2020
Captrust acquires retirement business of Plante Moran

Deal for Michigan-based unit adds $6.27 billion in institutional assets

By InvestmentNews
Hybrid wholesaling coming for the 401(k) market
RETIREMENT PLANNING SEP 09, 2020
Hybrid wholesaling coming for the 401(k) market

What the trend means for retirement plan advisers

By Fred Barstein
UBS will boost fees to get clients out of costly cash
WIREHOUSES SEP 09, 2020
UBS will boost fees to get clients out of costly cash

Firm is trying to reduce cash holdings amid persistently negative interest rates

By Bloomberg
Wells Fargo Advisors puts limits on dining with clients
PRACTICE MANAGEMENT SEP 09, 2020
Wells Fargo Advisors puts limits on dining with clients

The firm joins Merrill Lynch in revamping policies around client perks

By Bruce Kelly
Until Reg BI enforcement starts, we’ll have to take brokers’ word it’s working
REGULATION AND LEGISLATION SEP 09, 2020
Until Reg BI enforcement starts, we’ll have to take brokers’ word it’s working

Or you can rely on state securities regulators to provide data about advice reform

By Mark Schoeff Jr.
An inside look at Envestnet Tamarac’s tech strategy
FINTECH SEP 09, 2020
An inside look at Envestnet Tamarac’s tech strategy

Andina Anderson talks about the company's focus on multigenerational tech adoption and reflects on her career as a female fintech leader

By Nicole Casperson
Doubleheader: Nicole Casperson on free robo-platforms and Todd Rosenbluth on semitransparent ETFs
FINTECH SEP 09, 2020
Doubleheader: Nicole Casperson on free robo-platforms and Todd Rosenbluth on semitransparent ETFs

This week’s podcast includes a discussion of the proliferation of free robo-platforms at large financial institutions and a look at the odd evolution of semitransparent ETFs

By InvestmentNews
Congressman wants to slow mutual fund fee litigation
MUTUAL FUNDS SEP 09, 2020
Congressman wants to slow mutual fund fee litigation

Plaintiffs would face a hurdle in filing 36(b) claims against fund providers

By Emile Hallez
People of color feel ready for retirement but may not be, study finds
RETIREMENT PLANNING SEP 09, 2020
People of color feel ready for retirement but may not be, study finds

Allianz says their potential misinterpretation of the situation may put retirement at risk

By InvestmentNews
How our response to the pandemic created a better normal
OPINION SEP 09, 2020
How our response to the pandemic created a better normal

Robust communication encouraged our clients to continue with their investment strategies

By Scott Hanson