Thomas is partnering with former Bank of America credit specialist Anthony Hoye to provide financing to minority and women-led businesses.
Large branch offices of independent broker-dealers like Concurrent Advisors increasingly are flexing their muscles and either adding on new custodians or spinning off on their own.
Research uncovered three ways that investing platforms can foster a more inclusive and accessible environment for those living on a low to moderate income.
It may be time for advisers to talk to clients about reducing spending and either continuing or returning to work.
Autism, Asperger's, dyslexia and other neurological differences open surprising opportunities for talent and employers.
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.
The program offers six months of training in how to attract and work with high-net-worth and ultra-high-net-worth clients.
Michael Schneider, Megan Kowalski and David Sokolovsky will lead initiatives in the family office space.
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
The imperative for having more women in charge of brokerage and advisory firms is pretty clear — in the future women will control more of the nation's wealth.
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
A new generation of advisers is critiquing traditional AUM fees and advocating for alternatives.
The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.
Millennials — those born between 1981 and 1997 — trail far behind older generations, with only 5% of the country's wealth. But they're starting to come into their own.
Adding a tax overlay to multiple unified managed accounts lets advisers generate tax alpha through APIs that identify and recommend tax-smart trades and sales.
The largest American insurance companies have uneven track records with diversity when it comes to selecting asset managers.
The move aligns state policy with a Finra initiative that extended the grace from two to five years as long as brokers stay current on continuing education.
The trade group's new president and CEO previously served as its general counsel.
A risk alert released Monday gives advisers a preview of how the agency will assess compliance with the regulation, which overhauls advertising restrictions for the first time in 60 years.
