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Introducing the 2023 Excellence in Diversity, Equity & Inclusion honorees
InvestmentNews is proud to present our sixth annual Excellence in Diversity, Equity and Inclusion Award individual winners and firm finalists. The 15 individuals and 37 firms are superstars when it comes to boosting awareness of the need and the importance of creating a more diverse financial advice profession.
Native Women Lead snags big grant
The funding from the Comcast NBCUniversal Foundation will support the group's work of preparing Native American women for careers in asset management and wealth management.
UBS in talks with former executive Naratil about possible return
Naratil left the bank just six months ago after holding a number of senior positions in almost four decades at UBS, including president of UBS Americas, co-head of wealth management and CFO.
To close opportunity gaps, focus on investment education
Educating Americans about how to participate in capital markets, build wealth and ensure their financial security requires an early start and meeting them where they are.
Practifi COO Emily Wilcox talks about improving advisor tech adoption
Wilcox blames the low level of adoption on some tools on the fact that firms aren't spending enough time training advisors on the technology after they invest in it.
Employees are a key piece of the succession puzzle
Along with price and client care, the process of integrating team members into the acquiring firm offers challenges as well as upside.
Pershing X moves performance reporting to the cloud
The move boosts data processing speed and establishes a modern infrastructure to build out the firm's vision for an all-in-one technology suite.
Harvard hockey star exits family office of Fidelity dynasty
Lane MacDonald had been chief investment officer of FMR’s diversified investments group.
First Republic team managing $1 billion joins RBC
The trio of advisors will operate as the Todd Halbrook and Adam MacDonald Wealth Management Group in Newport Beach, California.
Nuveen gets new muni bond leader amid lawsuit settlement
As the firm announces a settlement of suits brought by Preston Hollow Community Capital, Nuveen announced that John Miller is retiring and will be replaced by Daniel Close.
The 5-minute rule for evaluating alternative investments
Advisors evaluating alts for their clients should focus on what clients want to achieve as part of a well-diversified portfolio and understand their clients' cash flow requirements.
Finra bars former LPL, RayJay rep who borrowed $850,000 from clients
Chattanooga, Tennessee-based William F. Winchester III was registered with LPL Financial from 2007 to 2012 and then with Raymond James Financial Services.
Financial advisors ignore succession planning at their own peril
Experts detail the nuances of navigating ownership transition plans, and it's rarely a straightforward and easy path.
3 effective ways for advisors to engage with, and win over, the next generation
Most financial advisors aren't prepared for the next generation, and many wealthy heirs will be looking to move.
Advisor Group to rebrand — more to follow
It's all part of the push by the private equity-owned network of independent broker-dealers toward an initial public offering.
Goldman ordered to pay $3 million for mismarking ‘short’ sales as ‘long’
Finra's action was another by the broker-dealer self-regulator that targets a best-execution failure by a member firm.
$10.8 billion First Republic team bolts to Morgan Stanley
The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.
Guiding clients through market volatility and inflation
When things change, recency bias would have us wait rather than move forward.
Millions flow to Girls Who Invest
Investment firms are re-upping their investment in college women through new donations to the summer immersion program.
Fintech guarantees it can help advisors convert at least one prospect in 90 days, or their money back
Elements provides a mobile Scorecard app that evaluates a prospect’s financial data and provides an evaluation score across 12 measurements.
