The proposal, which goes after households worth at least $100 million, enters unprecedented territory by trying to tax unrealized gains.
Advisers need to learn to help ultra-high-net-worth families achieve and maintain a sense of shared purpose and stewardship around legacies.
Leslie Shenkler and Daryl Lipkin are setting up shop as Alcove Private Wealth in Princeton, New Jersey.
As mortgage rates hit a two-year high, financial advisers are weighing the pros and cons of whether clients should refinance or downsize.
The biggest U.S. bank will hire a third party to perform the audit and publish a report on the results by the end of this year.
The Baton Rouge, Louisiana-based Hays Breard Financial Group is joining Cetera’s Summit Financial.
The initiative was originally launched with existing technology in 2020 and through a partnership with InvestCloud, is now ready to onboard new clients.
Women Adviser Summit panelists say the financial planning industry needs more advisers focusing on the LGBTQ-plus community.
The shift from having taxes withheld to making estimated tax payments can be challenging for people entering retirement.
Ann Alsina kicks off the Women Adviser Summit by inspiring women to find their own niche.
Dempsey Lord Smith and BD4RIA were negligent in 2018 when they failed to inform clients that GPB had missed a deadline for filing financial information, according to Finra.
The Swiss bank expects about 10% of its workers in the US to go remote as the program is implemented in phases, starting at the wealth unit.
Securities issuers would also have to report Scope 1 and 2 emissions, or those that are directly from their operations and the energy they use, on their registration statements and periodic reports.
It was the only wirehouse to show a net increase in financial advisers last year, according to InvestmentNews data.
Firms have made plans to return employees and advisers to offices in the past but have scuttled those due to flare-ups of the pandemic.
We need to understand new technologies and combat the fear of missing out on the hottest investment category, which has been cryptocurrencies.
The fine and restitution to customers stem from sales of two alternative investments, the LJM Preservation & Growth Fund and private placements issued by GPB Capital Holdings.
One important aspect of retirement planning that hasn’t changed — and is likely never to change — is the need for advisers to be forthright with their clients, especially about matters relating to longevity and income adequacy.
Nishat and his partner specialize in serving immigrants and first-generation Americans; their firm works with physicians and entrepreneurs who moved to the New York area from all over the world.
Smith, president of ELS Vision Wealth Management, focuses on helping those in the ‘first generation of success.’
