The agency’s role is not to determine whether any particular strategy is a good one, but to ensure investors know what they are getting, according to Securities and Exchange Commission member Hester Peirce.
Luma aims to get a broader set of advisers to engage with annuities with access to the Cannex database and annuity-focused tools.
Shone Wealth Management, based in Walnut Creek, California, serves about 300 client households.
The Advisors, a five-adviser group, is based in Murraysville, Pennsylvania, and headed by Bryan Davis.
Social Security is forecast to run out of funds by 2035, company pensions (as well as full-time employment itself) are in decline, and millions are facing a squeeze on savings. People planning for their retirement are looking for fresh advice to help guarantee long-term financial security.
White paper says financial services firms must adapt to the threat or pay the price.
People benefit from being flexible, and the defined-contribution industry can too, as it attempts to provide benefits in a way that takes into account the individual needs of employees.
Newport will serve as the pooled employer plan provider and PlanMember will supply 3(38) fiduciary investment services.
If you are a competent, caring, hands-on financial adviser, you should charge a market rate for your services.
The IRS released its interpretation of the SECURE Act’s rules for post-death payouts on IRAs and surprised everyone — and not in a good way!
Matt Patsky runs Trillium and its biggest fund with an eye on delivering for investors, while also fostering a belief in his responsiblity to make the world a better place.
The BLatinX Internship Program's goal is to provide 100 aspiring Black and Latinx financial planners the chance to obtain a paid internship.
Society must integrate financial awareness into education, as men, and particularly women, need to improve their financial knowledge.
Huber Capital Management borrows a page from the exchange-traded fund industry to protect mutual fund investors from taxes.
The risk alert is the latest step the SEC has taken to emphasize ESG oversight. In recent weeks, it has formed an enforcement task force and released a request for public comment on ESG and climate-risk disclosures.
Surveys of investors and financial advisers show a disconnect between what investors want with regard to environmental, social and governance strategies, and what most advisers think their clients want.
Four-adviser NorthEnd Private Wealth is launching in Greenville, South Carolina; it is affiliating with LPL via its Strategic Wealth Services offering.
Foundation for Financial Planning helps bring free financial advice and planning to people across the country who can’t afford a financial adviser.
Mana Money School offers bite-sized lessons that cover core topics in personal finance, introducing the basics of wealth management.
The deal to purchase the Bank of Montreal's Europe, Middle East and Africa asset management unit will bring $124 billion in AUM.
