Displaying 8983 results
Women take the lead at Advisor Group
The imperative for having more women in charge of brokerage and advisory firms is pretty clear — in the future women will control more of the nation's wealth.
‘Central Park Karen’ lawsuit over firing thrown out
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
Financial advisers debate the best way to charge clients
A new generation of advisers is critiquing traditional AUM fees and advocating for alternatives.
NAPA unveils new adviser designation for nonqualified plans
The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.
3 reasons advisers should take millennials more seriously
Millennials — those born between 1981 and 1997 — trail far behind older generations, with only 5% of the country's wealth. But they're starting to come into their own.
Enhancing tax alpha on a multi-account UMA platform
Adding a tax overlay to multiple unified managed accounts lets advisers generate tax alpha through APIs that identify and recommend tax-smart trades and sales.
Insurers talk big, spend small with diverse asset management firms
The largest American insurance companies have uneven track records with diversity when it comes to selecting asset managers.
NASAA model rules let advisers maintain licenses while out of industry
The move aligns state policy with a Finra initiative that extended the grace from two to five years as long as brokers stay current on continuing education.
Institute for Portfolio Alternatives promotes Anya Coverman to top job
The trade group's new president and CEO previously served as its general counsel.
SEC to probe whether advisers can back up ads in marketing-rule reviews
A risk alert released Monday gives advisers a preview of how the agency will assess compliance with the regulation, which overhauls advertising restrictions for the first time in 60 years.
The latest in financial #AdviserTech — September 2022
VRGL's $15 million Series A round, FMG's acquisition of Vestorly, Farther's funding round and Orion's partnership with Apex Clearing are among the highlights of this month's roundup.
US SIF CEO Lisa Woll to step down
Woll has been the face of one of the most prominent organizations supporting sustainable investing for 16 years.
Advice-only planning exposes what’s wrong with asset-based fee models
The planning industry won't truly distinguish itself from the old-fashioned brokerage industry until it stops linking fees to investment portfolios.
Clients want advice about their Medicare options
Most advisers agree they should be providing health care advice, but they say they need better tools.
Morgan Stanley counting fresh assets in the trillions
After its spate of acquisitions, Morgan Stanley now has relationships with 16.5 million clients, Andy Saperstein, its head of wealth management, points out.
The decline of internal succession in the age of integrators and aggregators
Remember that almost any carefully developed plan is going to be better for your family, employees and clients than to have no plan in place at all.
Wells Fargo plans third-party racial equity audit
The announcement that the bank hired law firm Covington & Burling to do an assessment comes as CEO Scharf prepares to appear at a pair of congressional hearings.
Merrill Lynch boosts CFP Board diversity efforts with $1.25 million donation
The firm becomes a founding sponsor of the Center for Financial Planning, whose mission is to build a more inclusive talent pipeline.
Investors see inflation as top concern
Research from State Street Global Advisors exposes a generational divide when it comes to seeking out financial advice.
New foundation offers startup grant to aspiring women advisers
A new grant to help women launch their own advisory firm is offered by a foundation honoring an adviser who died young
