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Team managing $1.3 billion at Wells Fargo goes indie with LPL
NEWS BROKER DEALERS JUN 21, 2021
Team managing $1.3 billion at Wells Fargo goes indie with LPL

The six-adviser group led by Larry Boggs is forming Boggs & Co. Wealth Management in Cumberland, Maryland.

THE INVESTMENTNEWS PODCAST JUN 21, 2021
Bruce wins a Neal award! Mindy Diamond talks adviser movement, compensation and diversity

George Moriarty, our chief content officer, makes his inaugural visit to the podcast to chat about Bruce's amazing Neal award. Recruiter Mindy Diamond talks about adviser movement, the wirehouses, compensation and why there aren't more female RIAs.

There’s no room for crypto in employee 401(k) plans
NEWS OPINION JUN 21, 2021
There’s no room for crypto in employee 401(k) plans

Digital assets are slowly being accepted by big financial firms, but given the critical role that 401(k)s play in building Americans’ retirement savings, the plans should be one of the last places to sign up for crypto.

Rhode Island enacts financial literacy legislation
NEWS REGULATION AND LEGISLATION JUN 18, 2021
Rhode Island enacts financial literacy legislation

The state’s students will receive personal finance education before graduating from high school.

Team managing $1 billion at Wells Fargo goes to RBC
YOUR PRACTICE PRACTICE MANAGEMENT JUN 18, 2021
Team managing $1 billion at Wells Fargo goes to RBC

The four-adviser Seidler Cattich group is joining the firm in San Francisco.

SEC charges Miami adviser, firm with cherry-picking
NEWS REGULATION AND LEGISLATION JUN 18, 2021
SEC charges Miami adviser, firm with cherry-picking

Ramiro Jose Sugranes of UCB Financial allegedly steered profitable trades to accounts controlled by his relatives.

MassMutual reps managing $400 million switch to LPL
NEWS BROKER DEALERS JUN 17, 2021
MassMutual reps managing $400 million switch to LPL

Alicia Curtis and Jyl Barnard of Curtis Barnard Financial Services and Chris Dearing of Riverfront Financial share an office in Peoria, Illinois.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 17, 2021
Outstanding Practices: RBC Wealth Management – U.S.

Five years ago, a new leadership team decided to focus on recruiting and retaining diverse employees and supporting diverse communities. The firm concentrated on two areas: increasing the number of women financial advisers and increasing racial and ethnic diversity.

Ever hear of a ‘lay fiduciary’? There are 17.5 million of them
RETIREMENT RETIREMENT PLANNING JUN 16, 2021
Ever hear of a ‘lay fiduciary’? There are 17.5 million of them

Group says nonprofessional plan fiduciaries who oversee assets in pension plans, foundations, endowments and trusts often don’t understand their responsibilities

Women dissatisfied with retirement industry’s work-life balance
RETIREMENT RETIREMENT PLANNING JUN 16, 2021
Women dissatisfied with retirement industry’s work-life balance

The survey also finds sense among women that their compensation has not kept pace with their experience and responsibilities.