Jennifer Campbell was office manager and chief compliance officer for a registered investment advisor in Buffalo, New York.
Although AUM fees still dominate, other models — such as planning, subscription, monthly and hourly fees — are gaining traction, according to IN's goRIA panelists.
Some 85% of C-suite executives believe that organizations should require mandatory reporting of well-being metrics, according to a study.
Clients can explore savings strategies and financial products with higher risk-free returns and alternative fixed-income investments.
While the giant network of 11,000 brokers and advisors has announced its new name, the process of rolling its eight firms into one will take up to two years.
Artificial intelligence stands to positively impact advisory firms' relationships with their clients by fostering more personalized experiences.
In the absence of proper estate planning, there's a risk that LGBTQ individuals' intentions may not be respected.
The broker-dealer self-regulator highlighted a recent government advisory about a ransomware attack and told member firms to brush up on Finra's guidance on the topic from last December.
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
Andrew Komarow was featured in InvestmentNews in May 2021 for his focus on understanding special-needs financial planning.
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
There's a fair amount of legwork that needs to happen to get firms to the point where automation is possible.
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
The firm cited the sports and entertainment accredited wealth management advisor designation rolled out in 2022 by the College for Financial Planning as a factor that will help advisors meet such clients' needs.
Veteran UBS wealth management executive Tom Naratil is not part of the new team, however.
Identity pronouns resonate far beyond the forms they're written in, signaling inclusion and respect.
The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest.
