The addition of Covenant Multifamily Offices expands Captrust's Texas footprint and adds $2.6 billion under management.
In 2020, many firms chose a steady-as-she-goes approach to compensation and staffing levels – but may face a major retention challenge as the “great resignation” wave engulfs America.
The No. 1 reason given for the increase in advisory firm M&A is the desire to create a succession plan. Advisers nearing retirement should consider their alternatives.
The digital record-keeping platform also promoted Ryan Anderson to chief product officer.
Saumen Chattopadhyay fills a role that had been vacant since former OneDigital CIO Jamie Battmer left the company in March.
A look at the evolving marketing landscape, and the five trends advisory firms must command to optimize growth in the next decade.
The financial adviser Douglas Chin has affiliated with the independent broker-dealer through Gladstone Wealth Partners in Red Bank, New Jersey
An ecosystem is emerging whose ultimate goal is to increase advisers’ wallet share by enabling them to unify a client’s entire financial world onto a single platform.
The rule goes 'significantly beyond' suitability, and firms should give their reps the tools they need to 'identify, disclose and mitigate conflicts prohibited under Reg BI,' Gurbir Grewal said.
Scottsdale, Arizona-based Integrated Wealth Management has a 10-person team.
Advisers' biographies tend to be generic, filled with jargon and acronyms. Write a bio that gives prospects the information they need to decide whether they want to talk with you.
Jeffrey Dampf was barred from the securities industry last week for not cooperating in Finra's investigation of allegations that he stole money from elderly clients.
Eric Cornell and Patrick Shea have formed their own firm, Helius Wealth, in Palm Beach Gardens, Florida.
The compliance friction points that advisers detest the most are almost always centered around marketing.
The media executive will help provide strategy and guidance for InvestmentNews.
Christopher and Michelle Mackin are leveraging their love for the outdoors into a focused advisory practice.
The trader, Keith Wakefield, was charged with one count of securities fraud, which carries a maximum sentence of one year in prison.
Sean Khaligh, who joined Wells in 2007, is affiliating with LPL through The Financial Services Network and has formed EQ Private Wealth Advisors in Palos Verdes, California.
Client risk profiles can be messy and complex, and even the language is confusing. Here are guidelines advisers can use to properly vet the tools they use to create client risk profiles.
Last year, the SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
