How should firms organize, develop and manage their operations to ensure continued success as they grow?
Women are underrepresented in the advice industry, but at some independent broker-dealers, they make up a significant portion of the producing reps.
Less than half of advisers are keeping track of how many of their prospects become paid clients.
Dimple Shah is named executive vice president of corporate strategy and Iryna Northrip becomes chief compliance officer for investment advisory.
A Finra arbitration panel ordered UBS to pay the clients $2.9 million in compensatory damages and $966,000 in attorneys' fees.
Glass Lewis & Co. cited a 'disconnect' between the CEO's pay and the bank's performance; it's particularly concerned about the $52.6 billion in options awarded to Dimon in 2022.
The Ariel-Schwab Black Investor Survey quantifies a strong preference by Black investors to work with advisers who mirror their identities.
Providing hefty bonuses to recruit financial advisers is like a sugar rush: sweet at first but it comes with a downside.
Of the 19 speakers scheduled to speak on the first day of the fintech-for-advisers event, only one was a woman.
Advisers should provide a holistic, hyper-personalized view of a client’s entire financial life, complete with data-driven recommendations.
As the number of certified financial planners grows, here are the independent broker-dealers who employ the most CFPs.
It takes time to explain the investing approach to clients, and often those explanations don't stick.
The popular corporate leader will co-found a company that provides debt and equity to businesses run by women and minorities.
The old advice to 'sell in May and go away' is morphing into a duck-and-cover drill as advisers brace clients for a rough summer.
People trust climate data more often if companies are required to report it, a recent survey found.
Mercer is acquiring HYA Advisors, an RIA based in Springfield, Missouri, as private equity money continues to drive RIA consolidation.
Asset-based pricing still dominates in wealth management, but the trend is moving away from charging clients based on portfolio size.
There's lots of discussion about the aging of the advisory workforce and the need for succession planning, but an aging workforce can be an asset, not a problem.
The resources available to advisers who have an interest in the subject have grown, including certificate programs from the CFA Institute and the National Association of Plan Advisors.
Speculation about DePina's future with the company has circulated since reports surfaced that Envestnet is exploring a sale to private equity.
