Plus Stifel turns to KX to enhance analytics and decision making, and digital insurance brokerage Modern Life unveils a new platform for advisers.
The grants from Stephanie Bogan will support training for diverse advisers.
An LPL presentation on the return on various types of assets shows the age of advisory assets and fees has arrived in the broad financial advice industry.
CFP Chair Kamila Elliott said the current political environment would make it too difficult to obtain legal recognition of financial planning.
The firm used two locations to store phone records, which caused a confused response to Finra document requests in investigations, according to the regulator.
Steeped in finance, Lebenthal turns her considerable influence to accelerate growth for women-led businesses.
Falling markets are cutting firms' revenue tied to AUM at the same time rising interest rates are making it more expensive for buyers to finance deals.
This month’s highlights include Savvy Wealth’s $11 million funding round to enter the realm of tech-enabled RIAs, along with DPL Partners’ new adviser-matching solution and InvestCloud’s Advisor Connect solution.
Advisers need to create an ‘ideal client’ description, grade their clients and eliminate those who aren't the right fit.
Gautam Arora allegedly defrauded four victims out of $100,000 to secure investments that didn't exist.
The new annuity functionality will help advisers using Morningstar's workstations manage annuity transactions for their clients.
Chief Executive Officer David Solomon has said he’s dialing back the firm’s ambitions for consumer banking.
Jessica Goedtel is building an advisory practice where people who earn a living via online platforms like OnlyFans feel welcome.
The organization representing financial planners wants to obtain legal recognition of the profession, a process that could involve a long, winding road through state and federal legislatures.
Entering the competitive space of client referral programs, AdvisorFinder faces the challenge of getting consumers to the site.
Ways that firms can demonstrate their appreciation of their staff members amid the year-end festivities.
In all 4 regions, 3,006 RIAs reported $3.015.5 trillion in assets, compared to $2.493.5 trillion in 2021, according to InvestmentNews research.
Finding younger advisers to join your firm isn’t easy, but it’s well worth the investment of your time and energy.
As more advisers work remotely and turn to messaging apps and social media to communicate, they’re exposing themselves to a higher risk of exploitation through impersonated and hijacked accounts.
Just 4% of the 3,204 candidates took the test remotely. Registration for the March exam is open until Feb. 21.
