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Schwab seeks to reassure investors following SVB collapse
The firm says it has sufficient liquidity to handle any volatility and that more than 80% of deposits are insured by the FDIC.
How advisors can avoid their own SVB collapse
If you’re not paying close attention to ensure that your clients’ cash is safe, you’re ignoring your fiduciary duty.
Stressed and blessed: Women want to talk finances with other women
Women are making headway with their personal financial goals, and they prefer talking with other women about money, a new Fidelity survey shows.
Workplace digital tools: Prohibition alone won’t work
The SEC doesn’t care whether advisors or staff are banned from using apps or tools. What’s important to them is that firms fulfill their capture and retention responsibilities.
Payout grids for independent broker-dealers
See how much brokers earn on sales of various products at 43 independent broker-dealers, according to data the firms provided to InvestmentNews Research.
US SIF names new leader at a precarious time for ESG
Maria Lettini will take the helm of the influential group as sustainable investing has become a political rallying cry for some state leaders.
Regulators make noise, and advisors lose jobs
Financial advisors should pay attention to regulators' concerns, since it's often advisors or firm executives who don't follow industry rules to the letter who may be discharged.
Fledgling IFP Securities’ net capital deficit was an ‘accounting error,’ CEO says
CEO Bill Hamm said the net capital deficit of $120,000 shown in IFP's Focus report was the result of accrual accounting.
Purpose just as powerful as profits as a magnet for women: J.P. Morgan’s Lemkau
Speaking at the American College's Women Working in Wealth conference, the CEO of J.P. Morgan Wealth Management said the firm aims to win clients early and then ease them into ever more personalized advisory services.
Sanctuary fired CEO Dickson over alleged conduct issue
But the allegations cited in Dickson's BrokerCheck report are not specific; Dickson had led the firm since 2018.
Gender diversity gives funds a performance lead
Investment teams in the highest quartile for gender diversity outperformed others by 45 basis points, according to Willis Towers Watson.
Women advisors’ take on succession planning
Several unique elements affect women advisors' planning, including a greater focus on the established relationships between staff and clients and on the maintenance of culture within their practice.
Comerica to use Ameriprise as broker-dealer for 100 advisors
Ameriprise jumped into the bank broker market in 2017 when it acquired Investment Professionals Inc.
UBS CEO gets 11% pay hike
Ralph Hamers received $13 million for his second full year in the job while the overall bonus pool for the rest of the firm was cut 10% to $3.3 billion.
Striving to win at compassion? You’ve missed the point
As a management tool, compassion is hard to execute and easy to love.
Finra encourages brokers to increase scrutiny, controls when using finfluencers
The regulator releases an update to an exam sweep probing how member firms tout themselves on social media.
LPL facing SEC investigation into unapproved personal devices
LPL's disclosure follows a crackdown by US regulators on financial firms' failure to monitor employee communications on messaging apps.
Get back to your roots and market
As an advisor's client base grows, more of their time is spent servicing existing clients, which leaves little time for finding new ones.
Advisory firm looks for clients right before they need advice
Michigan-based Innovia Wealth concentrates on entrepreneurs who are on the brink of striking it rich.
Biden plans to name Julie Su as next Secretary of Labor
Su, who would become the first Asian American Cabinet secretary in Biden’s administration, would replace Marty Walsh.
