A group with seven advisers in West Virginia and a solo adviser in Ohio switch affiliations.
Foran Financial Group of Somerville, New Jersey, is rejoining the independent broker-dealer after spending six years at Raymond James.
The private asset management firm, Ariel Alternatives, aims to build certified minority enterprises that can supply Fortune 500 companies.
Amy Cooper was fired last year after accusing a Black man in Central Park with threatening her. The charges were dropped after she completed court-sanctioned therapy sessions about racial bias, according to Bloomberg News.
Member firms and trade associations representing them told Finra their pandemic experience has shown that supervisors don’t need to look over the shoulders of registered reps physically to ensure they’re following the rules.
Freezing temperatures and power outages have affected much of the country. The deadly winter weather is testing the limits of creativity as advisers fight to serve clients and stay warm.
The WillowPointe Group, a two-adviser, five-person team, joins in Cookeville, Tennessee.
Technology is often one of the most noticeable areas in need of support — especially when compared to other retail or consumer channels, and specifically in terms of mobile apps.
Why a 64-year-old RIA doesn't worry about building scale and has no plans to retire, even though he could fetch about $5 million for his firm in today’s white-hot market.
Firm founder Tony Arnerich is stepping down as co-CEO; Bryan Shipley becomes sole CIO in addition to co-CEO.
Rick Ferri, a proponent of keeping fees low, rattles cages by suggesting asset-based pricing is a violation of fiduciary duty.
Sharps succeeds Bill Stromberg, who remains the fund company's CEO and chairman. T. Rowe also named Céline Dufétel to the new position of chief operating officer.
Hanley Sayers will join the registered investment advisory firm in Houston, expanding Cresset's footprint to Texas.
The CFP exam will again include a remote proctoring option for eligible candidates.
Women Adviser Summit speaker Shannon Spotswood of RFG Advisory says the pace of change in the advisory business 'has been put on steroids' and explains how to future-proof your business.
The change puts pressure on firms' compliance operations, experts say. Facilitating the ability of SEC staff to issue subpoenas and take testimony is expected to make enforcement more agile and effective.
Are you prepared to attract, serve and retain the next generation of clients?
As an industry, we’ve probably made business planning more complex than it needs to be. Keep it simple; it’s better to write something down than nothing, and there’s no need to put everything down.
It's the second round of announced layoffs after last year's mega merger. In October, Schwab said it was laying off 1,000 employees, or about 3% of the combined workforce.
The group of five advisers, which was with J.P. Morgan for nine years, will join UBS' Century City office in Los Angeles.
