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Not your Dad’s Edward Jones
‘One broker sitting in a strip mall in a rural town is history,’ one executive says.
Clock is ticking for Cetera IPO
If the brokerage is eyeing an IPO in the next five years, as sources say, it’s got a lot of work to do to get ready.
The intricacies of integrating RIAs
Dave Welling, Mercer Advisors’ CEO, says the key to succeeding at RIA M&A is what happens after the deal has been struck.
Braxton encourages RIAs to see investing in diversity as a business strategy
‘If a firm values its human capital, then it will make an investment to make sure that their talent can flourish for the advancement of the bottom line,’ says Lazetta Rainey Braxton, co-CEO of 2050 Wealth Partners.
Wirehouses to continue bleeding advisors in 2024
As the migration to independent broker-dealers and RIAs continues, concerns about the Big Four’s compensation plans may be contributing to the outflow.
Robbins cuts path that diversifies advice
Rita Robbins, the 2023 recipient of the Alexandra Armstrong Award for Lifetime Achievement, founded Affiliated Advisors 30 years ago, a ground-breaking move in a career that has created new opportunities for women.
King of Kansas
Peter Mallouk, owner of Creative Planning, owns a piece of a baseball team and has built a firm potentially worth billions.
Handcuffed by marketing inertia?
As the SEC marketing rule nears its first anniversary, most firms have yet to take advantage of the testimonials and endorsements it allows.
Strategic visionary who sticks to his guns
Morgan Stanley’s CEO, InvestmentNews' 2023 Icon, has upset advisors at times with his policies but is revered for leading spectacular growth and his Smith Barney ‘master stroke.’
How a former teacher is educating the world about 403(b)s
Authoritative and personable, with an underdog spirit, InvestmentNews Innovator Dan Otter is on a mission to root out bad retirement plans and investments for teachers.
Tsunami of new rules bears down on advisors
With the SEC preparing to approve a number of major proposals next year, firms face added costs and a huge amount of compliance work.
Are AUM fees heading toward extinction?
The asset-based model is the default setting for many firms, but more creative thinking is needed to attract the next generation of clients.
Jury’s out as market rejects mega RIAs
IPOs may still be a road to riches for giant aggregators, but critics say hurdles remain.
AI arrives on Wall Street
Morgan Stanley and JPMorgan seize the initiative, while smaller firms grapple with a lack of standardized data.
More than just a number
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
The annuity industry eyes another record year after 2022’s grand slam performance
Like baseball star Aaron Judge, annuity sales set a record in ‘22. Here’s why the retirement income instrument could pop out of the dugout for a curtain call in ‘23.
Gary Gensler has his game face on
With cheerleaders on the left and critics on the right, the chair of the Securities and Exchange Commission stays focused on what matters.
Diversity, Equity & Inclusion 2023 Lifetime Achievement Winner: Alex David
Daily experiences have helped the CEO of Stifel Independent Advisors to appreciate how necessary it is for professionals, especially African American adults, to be role models for young Black males.
Love it or hate it, ESG has been around for decades — and it isn’t going away
Interest both for and against sustainable investing will almost certainly be rising — and that means that financial advisors can’t afford to ignore it.
Answering the ancient question: Does gold fight inflation or not?
With inflation at a 40-year high, here’s how advisors view gold as a hedge compared to TIPS, crypto and other shiny metals.
