Displaying 8978 results
Hightower names Robert Picard to head alternatives
Former First Republic executive built alternatives platforms at Carlyle Group, RBC.
Market downturn shines new light on pros and cons of stock options
In the wake of the 12-year bull market, some financial planners and clients are getting their first look at the flip side of equity compensation.
Ameriprise reports robust hiring of advisers despite market turbulence
The total head count of financial advisers at Ameriprise increased 2% in the second quarter compared to June 2021, reaching 10,245.
Advisor Group launches employee wellness program
As part of the program, confidential mental health support will be provided to employees of the company’s six independent broker-dealers.
Drawn to specialize in serving innovators and entrepreneurs
Flavia Trento says an 'accident in geography' opened her eyes to the opportunities in the innovation economy.
Carson Group snags another exec from LPL
Former LPL exec Burt White recruits Ryan Detrick for Carson Group's newly created role of chief market strategist.
Can your DC plan take a punch?
Record inflation and 401(k) statement shock could send some retirement plans down for the count.
The message is compliance
The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.
SEC fines Private Advisor Group $5.8 million for using high-fee mutual funds
It's the latest action in the SEC's long-running campaign to crack down on disclosure and best-execution failures involving 12b-1 fees.
Soothing client concerns about their investments during mergers
Let's face it, virtually no two firms have the precise same offerings. However, the partnership can work if the firms have complementary investment philosophies.
Latest strategies for attracting Black college students to advisory careers take long view
Firms are investing in HBCUs and beyond, then creating a spectrum of entry points to financial industry careers.
FPA to push for ‘financial planner’ title protection
Legal recognition of the title is 'a critical step in recognizing financial planning as a distinct, essential profession,' the organization said.
Schwab benchmarking report shows strong RIA growth, hiring challenges ahead
The 16th annual study, which compiles data from more than 1,200 firms managing a combined $1.8 trillion, shows top-tier firms succeed through efficiencies.
Envestnet’s Ron Ransom on the biggest challenges facing ESG
The provider of outsourced investment management and financial technology appointed Ransom as group head of ESG, a new role at Envestnet.
SEC enforcement will help ensure Reg BI delivers on investor protection: Grewal
The first Reg BI enforcement action, filed last month, won't be the last, division director Gurbir Grewal told lawmakers.
Schwab turns page, changes decades-old name of RIA
The firm rebranded its registered investment adviser, formerly known as Schwab Private Client Investment Advisory Inc., as Schwab Wealth Advisory Inc.
LPL hires former BNY Mellon exec to head banking
Bill Sappington will lead efforts to build the IBD’s banking and lending platform.
Help business owner clients protect their greatest asset: Their people
As more and more workers quit their jobs, advisers can help business clients understand the risks associated with losing talent.
Mariner boosts focus on breakaways by acquiring Financial Services Network
The deal adds $26 billion under advisement and more than 400 advisers to Mariner's existing back-office platform.
Merrill Lynch follows through on hiring financial advisers despite tough market
Meanwhile, Bank of America, like other large financial institutions that employ advisers, is facing regulatory scrutiny over employees' communications.
