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How women advisers can create white space for new ideas
Staying busy may seem like the path to success, but without time to reflect, advisers could be using their time and energy on the wrong things.
AmeriFlex RIA acquisition model aims to keep sellers on board
The aggressive startup has plans to acquire more than 300 RIAs within three years, and its model even includes an option to reverse the sale of an RIA.
Tax ‘advice’ more important than ever
Advisers who help business-owner clients steer clear of possible tax traps in coming years will be performing a service unlikely to be forgotten.
SEC orders 9 advisory firms to pay more than $1 million for custody violations
The firms managed private funds and fell short of custody compliance by failing to give investors audited financial statements about the funds.
Finra cuffs another broker-dealer over GPB sales
The actions outlined in Finra settlement with Sanctuary predate Sanctuary’s acquisition of David A. Noyes, a company spokesperson notes.
Finra penalizes Long Island B-D $1 million for churning
Excessive trading in clients' accounts at Joseph Stone Capital occurred from January 2015 to June 2020, according to Finra.
Smaller RIAs weathered the pandemic better than larger firms, DeVoe reports
The key to success is maintaining employee connections and getting people back to the office.
Putnam hires ESG leader from BofA
Jackie VanderBrug has been appointed Putnam’s head of sustainability strategy, reporting to CEO Robert Reynolds.
CFP Board revokes 7 designations in latest round of sanctions
The CFP Board announced public sanctions on 33 individuals Tuesday, including seven who have lost the right to use the CFP designation.
Ameriprise terminates adviser in Texas
Dusty Sternadel of Wichita Falls was fired for misappropriating funds, according to her BrokerCheck record.
Why doesn’t mentoring seem to work?
Employers reflexively promote mentoring to cultivate diverse talent, but metrics have been scarce — until now.
Eric Heaton joins Rockefeller to head strategy
The former Morgan Stanley executive will expand the firm's product offerings.
Accusations intensify in Wendy Williams’ fight with Wells Fargo
An attorney who formerly represented the TV talk show host claimed that Williams was 'left to die' by her adviser at Wells Fargo and her former business manager.
How to make the most out of video calls
If you’re one of the many advisers thinking about making this practice a regular occurrence, make sure the experience is both high quality and compliant.
Overconfident, underinformed Americans prefer amateur advice
'Moments of truth' can overcome the reluctance of many consumers to approach a financial adviser.
5 questions advisers should ask to make SEC audits as seamless as possible
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
Schwab creates scholarship for underrepresented CFPs
Up to 16 awards, with up to $10,000 to be awarded per student, will be given each year, CFP Board says.
Finra names Nathaniel Stankard chief of staff for regulatory operations
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Goldman, Morgan Stanley move to return employees to office by easing Covid rules
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
Succession planning isn’t driving all M&A
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
