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Waiting too long can make your worst fears a reality
The primary reason RIA principals continue to run their own shops, rather than cashing out or offloading day-to-day responsibilities, has to do with fear.
Goldman CEO cites ‘tighter hiring plan’ for 2023
But Solomon cited improved sentiment among CEOs about the possibility of a 'softer economic landing.'
NAPFA names Kathryn Dattomo new CEO
Dattomo, a longtime executive for medical associations, takes over from Geoffrey Brown, who departed NAPFA in November to become CEO of the Illinois CPA Society.
Finra fines small New York broker-dealer for Reg BI failures
Finra's action against Long Island Financial Group is yet another indication of its dissatisfaction with the industry's implementation of Reg BI.
Programs to draw underrepresented groups into investing gain traction
New and expanding programs are crafting on-ramps for traditionally underrepresented investors to the world of private equity and venture capital.
Financial heartbreak: Lying about money can cost you your relationship
A survey by Bankrate.com found that more than half of those polled viewed financial infidelity as worse than physical infidelity.
Finra can start indicating on BrokerCheck whether firm is ‘restricted’
Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations.
Cetera CEO Antoniades enthusiastic about Securian pickup
But the deal raises the possibility other firms may go after the Securian advisors; Cetera and LPL have faced off in the past over recruiting advisors amid an acquisition.
Alan Moore stepping down as CEO of AdvicePay to become full-time CEO of XY Planning
The 35-year-old co-founder of AdvicePay and XY Planning said he got the AdvicePay board's blessing late last year to make the transition.
What do advisory firms need to keep growing? A move beyond client referrals
As firms increase in size, client referrals represent a declining percentage of new assets, while marketing accounts for a greater percentage.
Hundreds of pages of regulations amount to nothing until they’re enforced
We don't know how Reg BI or the CFP credential's fiduciary standard work in practice because there has been no substantial punishment for violating them.
Northern Trust Asset Management fills president vacancy with BlackRock veteran
Daniel Gamba starts work as president of the $1.2 trillion asset manager on April 3.
IBDs used to keep their hands off clients. Not anymore
Giant financial services companies are starting 2023 with more moves to control and own the assets of financial advisors, rather than servicing them for a modest fee.
Bring visual accessibility into focus with tools, workplace culture
Financial advisory firms need to be sure that clients are able to read documents, and providing that access is an ongoing process.
Growing demand for diversity investment products
Firms are developing more products focused on equal opportunities and gender issues, Cerulli found.
Labor Secretary Marty Walsh expected to step down to take job as head of NHL players union
When Walsh will officially step down has not yet been announced but Deputy Secretary Julie Su is expected to become acting head of the agency.
SEC emphasizes probing marketing rule, Reg BI compliance
The agency's other examination priorities for this year include RIAs who manage private funds, ESG investing and crypto.
5 ways for financial advisors to further their careers in 2023
Set aside time to take stock and focus your sights on what you want to achieve in the months ahead.
Compassion comes full circle when giving makes you a better advisor
When an advisor launched a nonprofit in his ancestral home of Ghana, he also learned how to better understand his clients
Joe Duran’s Goldman two-step: Exiting as partner, staying to consult
As a consultant, Duran will focus on Goldman’s effort to become a leading custodian to RIAs, working with the head of Goldman’s RIA offering, Padi Raphael.
