Volatile markets may be holding recruiting activity back from its breakneck pre-pandemic pace but mergers and acquisitions have more than rebounded from the 2020 low.
'Tis the season? LPL points to 'seasonality' to explain the slight bump in the rate of adviser pay in Q2.
The app-based brokerage's reductions were concentrated in operations, marketing and program management functions.
Among the suggestions for mitigating conflicts are to avoid compensation incentives for selling certain products and to minimize incentives for favoring one type of product or account over another.
The new proposal would give the derivatives regulator direct oversight of tokens that qualify as 'digital commodities.'
Boston-based Edelman gets its second deal under its belt and says it's settling in to become a more aggressive buyer of RIAs.
Dozens of transactions are still being completed every month despite the markets' slide, but they're being structured differently.
The banking giant completes 6-week review of procedures after ‘fake interviews’ fracas.
The initiative effectively extends the online supervision of branch and non-branch operations that Finra allowed during the pandemic.
The addition of Simon brings the total number of asset managers and product manufacturers on the iCapital platform to nearly 300, according to the company.
The SEC's proposed cybersecurity rule is an example of a one-size-fits-all regulation that would significantly affect smaller firms.
Investment advisers would have to establish anti-money laundering programs under a provision tucked into the bowels of the National Defense Authorization Act. It's another example of the breakdown of regular order on Capitol Hill.
There's a growing pool of women seeking second careers who come from sectors including education and nursing, professions that create skills perfectly suited for wealth management.
Nearly 4 in 10 plan sponsors expect conditions in domestic markets to worsen, up from 20% in 2021.
The purchase of Johnson Brunetti, a retirement and investment specialist with $1.5 billion in assets, keeps private equity-backed Alera on track for its goal of hitting $10 billion in assets within a year.
Real assets such as real estate, natural resources and infrastructure provide additional diversification benefits, with some returns outpacing traditional asset classes in an inflationary environment.
New Pinnacle Consulting Group, of Cornelius, North Carolina, specializes in 403(b) plans and currently manages over 600 retirement plans.
Here's the rest of the week’s news from the adviser fintech companies that aren’t on vacation.
The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.
B. Riley Financial had purchased a large stake in National Securities Corp.'s parent in 2018 and bought the remaining shares last year.
