It is imperative that we not let women miss out on a profession that can provide purpose, financial stability and a path towards a balanced life.
In the past two years, American women have had a collective epiphany: They want to trade in their current careers for something different and better.
A little effort delivers big results when firms build on-ramps for women who want to re-enter the workforce.
Practices reported significant gains during 2021. But as markets become more volatile, they’ll need to adapt in order to keep growing. Learn where they should focus their efforts—and capital.
The firm will also increase employees' sick days and bereavement leave, according to an internal memo.
The investment firm has tapped Morgan Stanley's wealth management arm as it seeks to raise $6 billion for its next venture fund.
The state is concerned that fee-for-service financial planners aren't aligning their charges with work done for clients. Michael Kitces said the guidance remains biased toward the AUM model.
Panelists at the Women Adviser Summit in New York City say firms need to rethink how they look for new talent if they're serious about increasing diversity in the industry.
Jay Tini joins Ritholtz from Vanguard, where he was divisional sales manager, for his first job at an RIA.
Nearly three-quarters of respondents to a Carson Group survey note that women must juggle professional responsibilities with caregiving obligations.
A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.
The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.
A team of four advisers in suburban New York is making the switch.
The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.
According to several news websites, Jennifer Campbell had worked at Pratt Collard Buck Advisory Group, a firm in Buffalo, New York, that closed at the end of last year.
Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.
Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.
Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.
But a former SEC official told the audience at the ComplyConnect conference in Austin not to expect the agency to be lenient in initial exams.
Known as the '3% investment policy,' the rule acted as a modest — if nagging — monthly charge on the revenue advisers generated.
