Advisers thinking of making a move should evaluate firms on what they're doing and what they've done, not on how big or small they are.
Veteran advisers Kellie Rixse and business partner Jeff Todd make move in Anchorage, Alaska.
The asset manager will undergo a third-party audit of its operations following a request from a shareholder.
Five-person Adapt Partners is joining Rockefeller in San Antonio
Those making a move risk losing clients and accounts; they also face operational challenges.
We say yes to so much that we’re forced to divide our efforts, which dilutes our efficacy.
“Mega teams” with the scale to grow, greater diversity, sophisticated tools and the flexibility to adapt to any environment will lead the way.
Wilson founded CHIP, which stands for Changing How Individuals Prosper, as a judgment-free, welcoming space that encourages people of color to find financial advisers who look like them.
We’ve gone from $2 billion to over $10 billion in AUM in four years because we’ve consistently adhered to three broad principles: Everything must be repeatable, measurable and scalable.
Merrill Lynch alum creates a new service model to provide financial advice to the masses.
With $600 billion in assets under advisement, Captrust has appointed a head of wealth management to lead the growing $24 billion under management business.
The CFP Board has spent $10 million each year on the campaign since its launch in 2011. The campaign is funded by an additional $12 per month that is added to the annual CFP certification fee.
How do you attract clients from segments of the population that traditionally have been ignored? Ally has been working to create an information-led program designed to build trust and credibility with women and Black and Brown people.
The veteran Wall Street analyst and executive founded Cornerstone Capital in 2013 to pursue what she calls a more regenerative and inclusive form of capitalism, and continues that focus as chief impact officer at Pathstone, which acquired Cornerstone Capital this past March.
As part of the settlement, Edward Jones will create a new financial adviser council to address diversity issues and senior management will be kept informed of those initiatives.
The Merrill Lynch adviser is actively involved in the LGBTQ+ community in the Fort Lauderdale, Florida, area and was one of just eight advisers nationally to be nominated to Merrill’s Advisory Council to Management, which provides input on ways to help advisers be more successful.
Clients come in with a problem that is actually a bundle of issues, only partly financial, that they haven’t been able to sort through to make progress toward resolution.
After a successful 13-year career in high tech and with an MBA in finance, Evans-Motte became a financial adviser, first at a wirehouse and then at Raymond James in the independent channel.
Firms scrambling to enhance their policies and procedures should focus on the three most common weaknesses — device security, software vulnerabilities and data privacy.
In response to employee feedback, the bank is seeking to improve engagement in underrepresented communities and considering allowing employees greater flexibility to work remotely.
