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Putting down business roots
PRACTICE MANAGEMENT SEP 13, 2024
Putting down business roots

Amy Irvine reflects on the challenges of starting her own business.

Sowell selects Tifin to supercharge client acquisition
FINTECH SEP 13, 2024
Sowell selects Tifin to supercharge client acquisition

Strengthening their years-long connection, the strategic partnership will give the Arkansas-based RIA access to fresh insights to drive asset growth.

By Leo Almazora
Erisa at 50: Retirement leaders reflect on what it got right, and wrong
REGULATION AND LEGISLATION SEP 13, 2024
Erisa at 50: Retirement leaders reflect on what it got right, and wrong

Many workers still don't participate in plans or contribute enough to their accounts, and a former DOL leader says she wishes IRAs were looped into the Employee Retirement Income Security Act.

By Emile Hallez
Does more AI use mean more clients? Think again
FINTECH SEP 13, 2024
Does more AI use mean more clients? Think again

Experts warn that despite AI’s ability to scale, it doesn’t replace the human, emotional relationship with clients.

By Josh Welsh
Going beyond DEI. How to 'Lead Bigger' by leveraging inclusion
PRACTICE MANAGEMENT SEP 13, 2024
Going beyond DEI. How to 'Lead Bigger' by leveraging inclusion

In her new book 'Lead Bigger,' former AT&T executive Ann Chow explains how today's leader can leverage inclusion to grow their business.

By Gregg Greenberg
Raymond James lands $360M team from LPL
BROKER DEALERS SEP 13, 2024
Raymond James lands $360M team from LPL

The latest hires catering to business owners and family offices are joining its independent employee division, Raymond James Advisor Select, in Mississipi.

By Leo Almazora
Russell Investments hires Goldman Sachs exec to head up alts
INDUSTRY NEWS SEP 13, 2024
Russell Investments hires Goldman Sachs exec to head up alts

Leader will help advance the firm’s alternatives strategy.

By Steve Randall
Total US homeowner equity reached $17.6T in the second quarter
INDUSTRY NEWS SEP 13, 2024
Total US homeowner equity reached $17.6T in the second quarter

But the average homeowner saw year-over-year increase decrease.

By Steve Randall
Focus Financial, CAIS expand relationship to scale alternative investments offerings
INDUSTRY NEWS SEP 13, 2024
Focus Financial, CAIS expand relationship to scale alternative investments offerings

The firms have been working together for more than a decade.

By Steve Randall
Former Fed president sees strong case for 50-point cut next week
INDUSTRY NEWS SEP 13, 2024
Former Fed president sees strong case for 50-point cut next week

William Dudley says softening labor market is prime concern.

BofA's Hartnett says jobs data is key to equities movement
INDUSTRY NEWS SEP 13, 2024
BofA's Hartnett says jobs data is key to equities movement

Until there is clarity, stocks are set for sideways trading.

Wealthy seeing fastest rising risk from climate change
INDUSTRY NEWS SEP 13, 2024
Wealthy seeing fastest rising risk from climate change

Study says poorest will still be most impacted but rich face challenges.

Trading platform eToro agrees to $1.5M penalty in SEC settlement
ALTERNATIVES SEP 12, 2024
Trading platform eToro agrees to $1.5M penalty in SEC settlement

The retail investing firm is scaling back its crypto offerings after allegedly crossing regulatory lines as an unregistered broker.

By Bloomberg
Wells Fargo slapped with $3M in sanctions for trading supervision shortfalls
REGULATION AND LEGISLATION SEP 12, 2024
Wells Fargo slapped with $3M in sanctions for trading supervision shortfalls

The Wall Street bank's main broker-dealer failed to adequately oversee reps who recommended losing short-term trades in closed-end funds, medium-term notes, and syndicate preferred stocks, according to Finra.

By Leo Almazora
Merrill bags $2.2B advisor duo from Morgan Stanley
WIREHOUSES SEP 12, 2024
Merrill bags $2.2B advisor duo from Morgan Stanley

The two elite advisors, including a 30-year industry veteran, extend the firm's reach in Illinois and North Carolina.

By Leo Almazora
After split with LPL, Merit Financial taps Purshe Kaplan Sterling as new B-D
BROKER DEALERS SEP 12, 2024
After split with LPL, Merit Financial taps Purshe Kaplan Sterling as new B-D

“It made the most sense for us to make this decision,” says Merit's president Kay Lynn Mayhue.

By Bruce Kelly
Is your company an employer of choice?
INDUSTRY NEWS SEP 12, 2024
Is your company an employer of choice?

InvestmentNews' search for the top employers in the industry is underway.

By InvestmentNews
Faith-based advisor and minister defrauds clients in Tennessee, SEC charges
REGULATION AND LEGISLATION SEP 12, 2024
Faith-based advisor and minister defrauds clients in Tennessee, SEC charges

"There are many psychological factors that go into such a fraud,” attorney says.

By Bruce Kelly
The transparency choice for ETFs
ETFS SEP 12, 2024
The transparency choice for ETFs

Money has been pouring into actively managed ETFs and out of active mutual funds, but the future for the products, including semi-transparent ones, is hardly certain.

By Emile Hallez
Cetera OSJ Wilde Wealth welcomes $400M advisor from UBS
BROKER DEALERS SEP 12, 2024
Cetera OSJ Wilde Wealth welcomes $400M advisor from UBS

The veteran with nearly three decades of experience will lead the Arizona-based firm's newly established family office division.

By Leo Almazora