InvestmentNews is proud to present our fourth annual Excellence in Diversity, Equity and Inclusion Award individual winners and firm finalists. The 15 individuals and 16 firms are superstars when it comes to boosting awareness of the need and the importance of creating a more diverse financial advice profession.
Financial preparedness is only a piece of the equation; clients must understand the impact retirement will have on every part of their lives.
The $250 billion RIA aggregator is adding Sonora Investment Management in Tucson, Arizona, and Collins Investment Group in Rockville, Maryland.
How can the financial advice industry know whether its attempts to hire more women, Blacks, Latinos and Asians are working if there is no accurate, unified measure of success or failure?
Whether it’s communicating uncomfortable changes to clients or asking your staff to step up their performance, here's a simple model you can use to say what needs to be said when you don’t quite know how to say it.
The deal adds to what is already a record-breaking pace of consolidation in the RIA space, with 100 deals announced in the first six months of 2021.
The SEC launched its Share Class Selection Disclosure Initiative in February 2018 to target advisory firms that recommended high-fee mutual funds.
The new feature on the IBD's platform lets advisers use a variety of models within a client's portfolio,
The SEC alleges the firm failed to safeguard clients from Hector May, who pleaded guilty to stealing $8 million from clients and was sentenced to 13 years in prison.
The new name, Digital Assets Council of Financial Professionals, reflects a broader charter to serve every company and all financial advisers, Edelman says.
The bank's employees will have the option of working from home at least part time, an executive said, setting it apart from others who are taking a more hard-line approach, like JPMorgan and Goldman Sachs.
Eight Kansas reps will affiliate with the independent unit of Raymond James through Beyond Wealth Advisors.
The former executive at Goldman Sachs and AIG will head the firm's new investment effort, Kestra Investment Management.
If a conversation with a client isn't going well, sometimes the adviser needs to change his or her approach to get the client past the sticking point.
Before becoming New Jersey's attorney general in 2018, Gurbir Grewal served as a federal prosecutor leading a unit that investigated white-collar crime.
The registration application known as Form U4 asks an applicant for a variety of information, from employment history to whether he or she has been convicted of or charged with a felony.
During a crisis, the critical fiduciary success factor is connecting with the client's heart.
Seeing an opportunity to cater to an often-overlooked segment of potential clients, one adviser has made Generation X women her true calling.
Steven Carlsen and Sathya Chey are forming a firm, Arise Private Wealth, in Rolling Hills Estates, California.
The bank hasn't set a date for returning to the office. Employees can start applying for hybrid work once local pandemic rules allow them to return full-time to the office.
