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Another former head of Wells Fargo Advisors leaves the bank
David Kowach is the second senior Wells Fargo executive with deep ties to wealth management to retire in the past two months.
Anticipating more pain ahead, advisers stress long-term perspective
While the stock market has officially entered a bear market, so far it doesn't feel like March 2009, when the market declined 30%, or October 1987, when it lost 20% in one day.
Carson Group adds $200 million firm
Diamond Wealth Advisors, which is based in Carlisle, Pennsylvania, has joined Carson Partners.
One size does not fit all: Finding the right ESG investments for wealthy clients
The key is to ask the right questions to develop a custom strategy aligned with the client’s goals rather than making assumptions.
Wells Fargo to focus on indie B-D business. For real
Wells Fargo's IBD, FiNet, hasn't been 'a growth priority' for the wirehouse. Now it is. How has the strategy changed?
As markets slide, more advisers are sending clients to I bonds
Investing in the Treasury-backed inflation hedge comes with a few challenges, but the 9.62% yield is seen as worth the effort.
When it comes to fees, how advisers charge is as important to clients as how much
Deducting fees from client portfolios can introduce the punishing long-term consequences of reverse compounding.
Schwab provides four-year grant to encourage planner diversity
The CFP Board Center for Financial Planning will use the money to support scholarships for CFP certification candidates.
Asset-based advisory fees stuck between inflation and a hard place
Spiking inflation adds a new twist to the concept of linking advisers' revenues to their clients' portfolios.
Finra suspends, fines broker who flubbed Covid relief loan application
Tameem Habib applied for the loan without telling his firm, J.P. Morgan Securities, that he had an outside business.
The bedrock of client experience
While clients tend to be loyal to their advisers, enhancing the firm's client experience is a way of ensuring they stay.
Wells Fargo sells off on report of probe of fake job interviews
The Manhattan U.S. attorney's office is reportedly investigating allegations the firm conducted sham job interviews of minority candidates to satisfy in-house diversity guidelines.
How investors are engaging with companies over abortion access
Recent shareholder proposals over reproductive rights have been made at Lowe's, TJX and Walmart.
Reps at firm that sold GWG bonds wanted more exposure to risky alts: B-D execs
Bill Hamm of IFP Securities said the SEC started its inquiries last year into broker-dealers that had sold GWG bonds.
How retiring advisers can avoid going ‘shoeless’
Like the cobbler's children who had no shoes because their father was too busy making shoes for customers, a large percentage of financial advisers are unprepared for retirement.
Midlevel a rich but overlooked vein for diverse talent
The greatest opportunity for change lies in the middle — at the branch or regional management level — where diversity programs fall behind or are abandoned in favor of the status quo.
Volatile market, worried clients keep advisers from unplugging this summer
Advisers may get away from the office physically, but during these uncertain times they can't leave work behind completely.
How advisers can drive growth in any environment
Here are some of advisers' best strategies for boosting growth, ranging from optimizing efficiency to engaging prospects.
In its first RIA buy, Alera Group nearly quadruples its assets to $4.7 billion
Private equity-backed Alera Group acquires $3.5 billion Wharton Business Group and says it plans to buy more firms.
Credit Suisse weighs new round of job cuts
The head count reductions would be part of a renewed push to cut costs after the bank warned of a second-quarter loss.
