The duo in Omaha, Nebraska, had been affiliated with Raymond James.
Under the Labor Department rule that took effect this week, advisers must declare their fiduciary status and material conflicts of interest in writing and follow impartial conduct standards.
The health care planning fintech is aiming to make complex health insurance decisions easier by collecting data about clients’ plans, usage and medications to find the best possible strategies.
At the center of the judge's order to vacate the arbitration decision were questions about whether or not Finra arbitration was a neutral forum for investors.
Paradigm Financial Advisors will become the core of a St. Louis ‘hub’ that will provide estate planning, tax planning and tax preparation services.
Kornerstone, based in Chico, California, manages $560 million.
AB plans to launch active ETFs in the U.S. later this year, and it has recruited Noel Archard from State Street to head the effort.
It’s a long-awaited moment for a generation of rising executives who’ve spent years missing out on the riches reaped by those before them.
The 38 direct PE investments in wealth management last year compares to 23 in 2020 and 11 in 2019. Now PE is eyeing the wealthtech space.
The SEC, NASAA and the CFTC take action to stop Safeguard Metals and its owner, Jeffrey Santulan, whose scheme allegedly targeted investors who were at or nearing retirement.
Merchant insists the noncontrolling investment is distinct from traditional private equity capital, which often comes with a short-term commitment.
Like its competitors, the Swiss bank had a strong quarter when it came to reeling in net new client assets.
Los Angeles-based Grant Tani Barash & Altman provides clients with personal chief financial officer services.
BBVA trio switches to SmartBank unit affiliated with firm’s bank channel.
Both equities and bond prices dropped sharply in January as markets priced in a faster pace of interest-rate tightening during 2022 from the Federal Reserve.
Hiring is getting more competitive at every level of an advisory firm, and compensation alone won't allow firms to keep pace.
Expect delays as the Social Security Administration's field offices reopen to the public after closing in March 2020 amid the pandemic.
The Great Resignation continues to produce record quit rates, which makes it a good time to think about 401(k)s and other job benefits.
The impact that market corrections can have on advisory firms' profits makes having the right strategy and doing an exceptional job of implementing it even more important.
When a company’s political activity — or even policies for lobbying — raise red flags, investors should consider becoming more involved, PRI and OECD write.
