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LPL recruits $450 million Raymond James team
James Sheehan is based in Charleston, South Carolina, while Shawn Tighe works in northern New Jersey.
Rockefeller hauls in $2.3 billion First Republic group
New York City-based Liberty Wealth Partners is just the latest team to leave First Republic in the wake of the turmoil that struck regional and West Coast banks.
Women gain momentum in new CFP numbers but overall percentage is stuck
Kate Healy, managing director of the CFP Board's Center for Financial Planning, focuses on the increase in the number of new female CFPs.
Hearsay uses AI to recommend content advisors can post on social media
The new Content+ module on Hearsay identifies content across the internet and curates it into thematic collections.
Connecting with clients requires advisors to show their own vulnerability
'If you crack yourself open, they'll crack themselves open alongside you. It makes the focus of your relationship about the truth,' Lupe Camargo said at the InvestmentNews Women Advisor Summit.
How advisors can better understand their scale and capacity
Pruning less than ideal clients can often lead advisors to breakthroughs in growth because they have more time to focus on other activities.
Pledges alone don’t catalyze diversity
It’s accountability and measurement that drive lasting change.
Betterment pays $9 million to settle SEC charges over tax-loss harvesting
Disclosure and operating issues impacted more than 25,000 client accounts and resulted in $4 million of potential tax benefits lost, according to the SEC.
How to avoid being fired by your clients
A Morningstar report shows most clients want to feel connected to their advisor beyond just their investment account.
Advisor Group RIAs add alts, and fresh conflict, to platform
The agreement between Advisor Group and CAIS on sales of alternative investments, and the revenue such sales would generate, is the crux of the matter.
Morgan Stanley wealth boss emerges as one to watch in CEO race
Andy Saperstein oversees the $4.5 billion wealth management unit that's catapulted Morgan Stanley's market value above that of archrival Goldman.
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.
What’s so funny about diversity, equity & inclusion?
InvestmentNews will continue to promote what we perceive to be in the best interests of the advisory industry now and for generations to come: a diverse, equitable, inclusive, and exuberant makeup.
Introducing the 2023 Excellence in Diversity, Equity & Inclusion honorees
InvestmentNews is proud to present our sixth annual Excellence in Diversity, Equity and Inclusion Award individual winners and firm finalists. The 15 individuals and 37 firms are superstars when it comes to boosting awareness of the need and the importance of creating a more diverse financial advice profession.
Native Women Lead snags big grant
The funding from the Comcast NBCUniversal Foundation will support the group's work of preparing Native American women for careers in asset management and wealth management.
UBS in talks with former executive Naratil about possible return
Naratil left the bank just six months ago after holding a number of senior positions in almost four decades at UBS, including president of UBS Americas, co-head of wealth management and CFO.
To close opportunity gaps, focus on investment education
Educating Americans about how to participate in capital markets, build wealth and ensure their financial security requires an early start and meeting them where they are.
Practifi COO Emily Wilcox talks about improving advisor tech adoption
Wilcox blames the low level of adoption on some tools on the fact that firms aren't spending enough time training advisors on the technology after they invest in it.
Employees are a key piece of the succession puzzle
Along with price and client care, the process of integrating team members into the acquiring firm offers challenges as well as upside.
Pershing X moves performance reporting to the cloud
The move boosts data processing speed and establishes a modern infrastructure to build out the firm's vision for an all-in-one technology suite.
