It's critical for wealth management firms to create authentic and compelling narratives around their sustainable investing offerings.
The Florida adviser is on deck to become the group’s chair in 2023.
The former AdvisorEngine exec will oversee FiNet, First Clearing and the wirehouse's RIA business.
Chad Bester is joining Mount Yale Capital Group in Minneapolis.
The company's success in 2021 in recruiting advisers comes at a delicate time as the financial advice industry tries to figure out the best way to return to the office amid the Covid-19 pandemic.
Chief Executive Bill Stromberg is retiring after 35 years at the Baltimore-based asset management company.
The proposals would impose public censure for CFPs who fail to self-report ethical problems. The guidelines are the first recommendations to come from the Commission on Sanctions and Fitness, which was established earlier this year.
Some of the most engaging practice stories arise from things we tell clients that they don’t hear or don’t remember, things we don’t think to tell them, and things they forget to tell us.
Brian Collins joins from Harbor Capital Advisors, a Chicago-based investment manager for Harbor Funds and pooled investment vehicles.
Kyle Smith and Michael Sandlin are leaving Truist Investment Services in Raleigh, North Carolina.
Tim Devlin and Michael Jeremiah are joining the firm in Spokane, Washington.
Not all of our old clients came with us. But the overwhelming majority came and — because of their enthusiasm for our move — some asked us to oversee even more of their assets, while others pointed brand-new business our way.
The bill, drafted by Senate Finance Committee Chair Ron Wyden, D-Ore., is aimed at reforming the unemployment compensation system, and could restrict use of the independent contractor classification. However, the proposed legislation lacks bipartisan support.
'As we went through the quarter, we didn’t expect it to slow down as much,' CEO James Cracchiolo said in an earnings call. The company reported 10,047 financial advisers across its platform at the end of June, compared to 9,894 a year earlier.
With the acquisition of Farr Miller & Washington, Hightower will install founder Michael Farr as its new chief market strategist.
Preliminary research results indicate there's a strong correlation between genuine leaders and authentic fiduciaries.
The agency charged 21 investment advisers and six brokerages with missing delivery or posting deadlines. The customer relationship summary outlines fees, services and potential conflicts of interest and is supposed to help clients understand business practices.
Legg Mason vet Joe Sullivan is bullish on the future of Allspring Global Investments. The $604 billion asset management arm of Wells Fargo & Co. is being acquired for $2.1 billion by GTCR and Reverence Capital Partners.
Twenty percent of high-net-worth clients say they're likely to switch their primary financial adviser this year, according to a Northwestern Mutual survey.
Should something that happened when applicants were teenagers still be held against them?
