The custom program will provide the group's fee-only planners with counseling and matching, including an annual valuation and an annual continuity plan.
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
The firm was fined $210,000 for falling short on its supervision of short-term mutual fund trades, the regulator said.
In the wake of the economic and social upheaval of the past two years, more factors play into women's assessments of risk
Financial professionals can reach a broader group of prospects — of all ages and in all locations — on their social media channels with fewer mechanics involved than planning an in-person event.
The CFP Board Center for Financial Planning and Mission Wealth Management launched a program that will award $5,000 scholarships to students seeking the credential.
Here are some of the things about working as an independent adviser that may surprise those who've made the jump from a wirehouse.
A client event features the life and art of Suzie Zuzek, the woman who designed the fabrics used in Lilly Pulitzer's clothing line.
The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.
Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
Eric Noll, the CEO of Context Capital Partners, first joined the Finra board in August 2020.
Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.
The association's board will engage an interim CEO while it searches for a permanent successor.
This month's roundup looks at Envestnet's acquisition of Redi2, Catchlight's new system to assess prospects and AssetMark's deal for Adhesion Wealth.
The deal is the firm's third-biggest transaction to date, and CEO Peter Mallouk says M&A activity is ramping up because most RIAs aren't growing organically.
SEC, CFTC worried that messages were being completely lost and would ultimately make it harder to look for wrongdoing.
The firm, which currently has 85 teams, is focusing on growth in places that have seen influx of wealthy residents in recent years, such as Charlotte, North Carolina, and Austin, Texas.
The S&P 500 was down almost 21% over the first six months of the year, but financial advisers at big firms didn't crash and burn.
Women asset managers and corporate leaders assess risk and opportunity over a longer time frame, justifying new methods of measuring their results.
Just 7% of the 2,596 people who took the CFP exam in July did so remotely.
