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Citigroup plans to hire 500 people for new wealth unit
The division caters to junior employees at private equity offices, consultancies and accounting firms, betting those clients will someday join the ranks of the ultra-wealthy.
Policymakers should tailor regulations for small businesses
The SEC's proposed cybersecurity rule is an example of a one-size-fits-all regulation that would significantly affect smaller firms.
Using the Great Resignation to drive gender diversity in the industry
There's a growing pool of women seeking second careers who come from sectors including education and nursing, professions that create skills perfectly suited for wealth management.
Courting clients with cigars and whiskey
Rather than free chicken dinners, Ameriprise's Eric Reinhold prefers the slow burn of bonding with clients over a fine cigar and top-shelf spirits.
Buffalo Bills owner backs startup targeting independent advisory firms
Atlanta-based Bison Wealth provides back-office support for advisory firms in exchange for a share of their revenues.
SEC slaps Aegis Capital with $2.3 million penalty
The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.
Latest crop of diversity programs hope to create wider, more welcoming points of entry
Goals include dismantling barriers and creating new ways to reach and invite women and minorities.
National Securities shuts down after 75 years, reps rolled into B. Riley
B. Riley Financial had purchased a large stake in National Securities Corp.'s parent in 2018 and bought the remaining shares last year.
Ken Van Leeuwen works with clients in two underserved niche areas
The adviser targets younger corporate executives and parents whose children have special needs.
Secrets to success for RIAs
Schwab’s annual benchmarking study shows top-performing firms are more likely to use such tools as marketing plans and ideal client profiles.
Raymond James hanging onto RIA assets of shifting advisers: Reilly
Raymond James said that its head count of private client group financial advisers was 8,616 at the end of June, an increase of 203 compared to a year earlier.
SEI launches practice management hub
The asset manager's new resource, Growth Lab, will provide tools to help independent financial advisers with growing their practices and lead generation.
Hightower names Robert Picard to head alternatives
Former First Republic executive built alternatives platforms at Carlyle Group, RBC.
Market downturn shines new light on pros and cons of stock options
In the wake of the 12-year bull market, some financial planners and clients are getting their first look at the flip side of equity compensation.
Ameriprise reports robust hiring of advisers despite market turbulence
The total head count of financial advisers at Ameriprise increased 2% in the second quarter compared to June 2021, reaching 10,245.
Advisor Group launches employee wellness program
As part of the program, confidential mental health support will be provided to employees of the company’s six independent broker-dealers.
Drawn to specialize in serving innovators and entrepreneurs
Flavia Trento says an 'accident in geography' opened her eyes to the opportunities in the innovation economy.
Carson Group snags another exec from LPL
Former LPL exec Burt White recruits Ryan Detrick for Carson Group's newly created role of chief market strategist.
Can your DC plan take a punch?
Record inflation and 401(k) statement shock could send some retirement plans down for the count.
The message is compliance
The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.
