The former Fidelity executive will develop strategies for advisers serving high-net-worth clients.
The settlement stemmed from potential claims related to Merrill's "management and oversight" of brokerage accounts opened by the owner of Jay Peak, the failed Vermont ski resort.
National Securities Corp. and Calton & Associates Inc. reported increased expenses in light of potential legal costs.
Elliott, president of Grid 202 Partners, an RIA in Washington, D.C., takes on the role as the organization has been promoting diversity in the financial advice profession.
As firms chase scale with bigger and bigger deals, RIA sellers are enjoying the ride of record-level valuations.
It's getting tougher to do the right thing, with the right people, at the right time. But here are some steps you can take.
Despite last year’s riot at the Capitol and a variety of lethal Covid-19 variants, the broad stock market roared, which is always good news for financial advisers and their firms.
Millions of consumers are already creating free financial plans right from their mobile phones, meaning the ability to create customized plans may become commodified.
The majority of global financial service institutions are facing serious issues related to securing their stored data, according to a recent survey by data storage company Continuity.
If you want to grow and improve, you've almost certainly got to change. But embracing change is one of the hardest things you can do.
The conversation with a participant is not about selling a product. It’s about listening, identifying needs and solving problems.
By identifying our unconscious biases or set ways of doing things, we can limit our risk and increase our chance of success.
Advisers like the autonomy of working from home and don’t want to have to go back to the office and wear a suit again.
Emerson Equity and Triad Advisors reached end-of-the-year settlements related to complaints about poor supervision of certain mutual fund sales.
With simulations showing extreme projected portfolio outcomes, some financial advisers won't even use Monte Carlo modeling for their younger clients for fear of looking silly.
It's important for advisers to understand what they can and can't do under the agency's new marketing rules when it comes to advertising and marketing via social media and messaging apps.
Elite Financial Network has 32 financial advisers in its network across California.
The company failed to reveal conflicts of interest concerning marketing fees paid by clients for mutual funds, according to the regulator. The independent broker-dealer 1st Global Advisors was acquired by Blucora in 2019.
A Cerulli study shows that of the roughly 103,000 advisers who plan to retire by 2030, 26% are unsure of their succession plans.
At times advisers may have to rescue clients from problems they have created by going it alone.
