Advisor News

Displaying 26793 results
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
Morgan Stanley team managing $383 million moves to Baird
INDEPENDENT BROKER DEALERS SEP 08, 2020
Morgan Stanley team managing $383 million moves to Baird

The four-person Parker Group will open a new branch for Baird in Columbia, Tennessee

By InvestmentNews
MassMutual 401(k) deal wins Empower valuable clients
RETIREMENT PLANNING SEP 08, 2020
MassMutual 401(k) deal wins Empower valuable clients

Empower will also get its foot in the door with one big broker-dealer

By Emile Hallez
Former GPB compliance chief pleads guilty to misdemeanor
ALTERNATIVES SEP 08, 2020
Former GPB compliance chief pleads guilty to misdemeanor

The former SEC examiner was charged with obstruction of justice, a felony, last year

By Bruce Kelly
An open letter to Corporate America: I can't feel my pain
OPINION SEP 08, 2020
An open letter to Corporate America: I can't feel my pain

Northern Trust executive Shundrawn Thomas reflects on the state of race relations in the workplace, and in his heart

By Shundrawn Thomas
When will Wall Street get back to the office?
PRACTICE MANAGEMENT SEP 08, 2020
When will Wall Street get back to the office?

While almost every bank says workers are under no pressure to return, employees are itching to learn what comes next

By Bloomberg
Hybrid adviser managing $150 million joins LPL from MML
INDEPENDENT BROKER DEALERS SEP 08, 2020
Hybrid adviser managing $150 million joins LPL from MML

Forrest Williams Jr. of The Opus Group of Virginia spent 27 years at MML

By InvestmentNews
Rockefeller hires three wirehouse teams
RIA NEWS SEP 08, 2020
Rockefeller hires three wirehouse teams

Assets of the breakaway firms, in California, Texas and Arizona, total $1.8 billion

By InvestmentNews
Empower to buy MassMutual's 401(k) business
RETIREMENT PLANNING SEP 08, 2020
Empower to buy MassMutual's 401(k) business

The deal will bump the plan provider's assets under administration to $834 billion, the companies announced

By Emile Hallez