As firms strive to build enterprise value, create ways for future partners to buy in and design a lasting business model, it may be time to consider adopting an equity-based ownership structure.
The Squier & Martinez group is opening an office for the firm in Grand Junction, Colorado.
In his first appearance on Capitol Hill since being confirmed as SEC chair, Gensler also addressed ESG and the gamification of investing.
The bank is planning to appoint a successor to Chairman Axel Weber, 64, at its annual general meeting next year.
Heald Wealth Management changes firms in Wellesley, Massachusetts
A new tool tracks spending and sends alerts about unpaid bills and potential elder fraud, helping families to organize and protect the daily finances of an aging loved one.
Only 16% of advisers are women, while 3.8% are Hispanic, 2.6% are African American and 2.1% Asian, according to a study by Cerulli Associates and the Investment Adviser Association.
Called Totus Wealth Management, the group had been registered until the end of last month with MML Investors Services, the broker-dealer arm of MassMutual, the insurance company, according to BrokerCheck.
After its acquisition in July 2019, United Capital became Goldman Sachs Personal Financial Management division, combining the then-RIA’s emphasis on getting personal with the Wall Street bank's 150-year legacy. The Personal Financial Management unit is growing via acquisitions and Joe Duran outlines how advisers can benefit.
Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
Employing insights from behavioral finance when putting together the trusted contact form can increase the likelihood a client names a trusted contact, according to a recent report from the Ontario Securities Commission.
The seven-person group will join its Newport Beach, California, office.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
More than 4,000 advisers and brokers switched firms during the first quarter, up 11% from the first quarter of 2020. RIAs and IDBs continue to set the pace.
The addition of Meridian Group gives the firm a Roanoke, Virginia, footprint
The B-D's $1.3 million settlement with the regulator involves its failure to supervise adequately a complex series of transactions involving variable annuities and whole life insurance policies.
Group will join firm’s Deer Park, Illinois office in Chicago’s northwest suburbs
James Galkowski will open an office for the firm in Rochester, Minnesota.
The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.
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