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Advisor Group adds two execs to leadership team
PRACTICE MANAGEMENT MAY 09, 2022
Advisor Group adds two execs to leadership team

Dimple Shah is named executive vice president of corporate strategy and Iryna Northrip becomes chief compliance officer for investment advisory.

UBS loses $3.9 million claim linked to YES options strategy
PRACTICE MANAGEMENT MAY 09, 2022
UBS loses $3.9 million claim linked to YES options strategy

A Finra arbitration panel ordered UBS to pay the clients $2.9 million in compensatory damages and $966,000 in attorneys' fees.

Dimon pay should be rejected by JPMorgan investors, proxy adviser says
PRACTICE MANAGEMENT MAY 08, 2022
Dimon pay should be rejected by JPMorgan investors, proxy adviser says

Glass Lewis & Co. cited a 'disconnect' between the CEO's pay and the bank's performance; it's particularly concerned about the $52.6 billion in options awarded to Dimon in 2022.

Black investors prefer Black advisers. What happened to being 'color-blind'?
PRACTICE MANAGEMENT MAY 06, 2022
Black investors prefer Black advisers. What happened to being 'color-blind'?

The Ariel-Schwab Black Investor Survey quantifies a strong preference by Black investors to work with advisers who mirror their identities.

T3 2022 recap: Top takeaways from the adviser fintech conference
FINTECH MAY 06, 2022
T3 2022 recap: Top takeaways from the adviser fintech conference

What the advisory industry will look like after the pandemic was a major theme at the conference.

Avantax boosts recruiting bonus to add advisers
PRACTICE MANAGEMENT MAY 06, 2022
Avantax boosts recruiting bonus to add advisers

Providing hefty bonuses to recruit financial advisers is like a sugar rush: sweet at first but it comes with a downside.

Advisor Group adds CAIS alts platform
ALTERNATIVES MAY 06, 2022
Advisor Group adds CAIS alts platform

The addition gives access to a menu of alternative investment products, including hedge funds, private equity, real estate and private credit.

J.P. Morgan launches direct indexing for RIAs
FINTECH MAY 05, 2022
J.P. Morgan launches direct indexing for RIAs

The Tax-Smart Separately Managed Account Platform lets advisers customize portfolios based on strategies created by J.P. Morgan’s index team.

Infuse meaning in milestones to attract, retain women clients
WOMEN ADVISOR COMMUNITY MAY 05, 2022
Infuse meaning in milestones to attract, retain women clients

Many women advisers are uniquely equipped to catalyze clients' values into plans and actions, said speakers at the Women Adviser Summit.

Franklin subsidiary rolls out more custom ESG tweaks for SMAs
FINTECH MAY 05, 2022
Franklin subsidiary rolls out more custom ESG tweaks for SMAs

The service has more data visualization, ESG-specific performance reporting and allows country exclusions.

Only men took the stage on first day of T3 conference
FINTECH MAY 04, 2022
Only men took the stage on first day of T3 conference

Of the 19 speakers scheduled to speak on the first day of the fintech-for-advisers event, only one was a woman.

Providing seamless digital experiences will help clients succeed in the long term
OPINION MAY 04, 2022
Providing seamless digital experiences will help clients succeed in the long term

Advisers should provide a holistic, hyper-personalized view of a client’s entire financial life, complete with data-driven recommendations.

10 IBDs with the most CFPs
BROKER DEALERS MAY 04, 2022
10 IBDs with the most CFPs

As the number of certified financial planners grows, here are the independent broker-dealers who employ the most CFPs.

The learning curve for new clients
OPINION MAY 04, 2022
The learning curve for new clients

It takes time to explain the investing approach to clients, and often those explanations don't stick.

Shundrawn Thomas resigns from Northern Trust Asset Management
PRACTICE MANAGEMENT MAY 03, 2022
Shundrawn Thomas resigns from Northern Trust Asset Management

The popular corporate leader will co-found a company that provides debt and equity to businesses run by women and minorities.

Advisers warn clients about 'long, difficult bear market'
EQUITIES MAY 03, 2022
Advisers warn clients about 'long, difficult bear market'

The old advice to 'sell in May and go away' is morphing into a duck-and-cover drill as advisers brace clients for a rough summer.

Climate disclosures should be mandatory, investors say
PRACTICE MANAGEMENT MAY 03, 2022
Climate disclosures should be mandatory, investors say

People trust climate data more often if companies are required to report it, a recent survey found.

Mercer Global Advisors adds $1.2 billion with latest deal
RIAS MAY 03, 2022
Mercer Global Advisors adds $1.2 billion with latest deal

Mercer is acquiring HYA Advisors, an RIA based in Springfield, Missouri, as private equity money continues to drive RIA consolidation.

Advice-only fees gain traction as advisers opt out of managing client portfolios
RIAS MAY 02, 2022
Advice-only fees gain traction as advisers opt out of managing client portfolios

Asset-based pricing still dominates in wealth management, but the trend is moving away from charging clients based on portfolio size.

Older advisers don't have to fade away
PRACTICE MANAGEMENT MAY 02, 2022
Older advisers don't have to fade away

There's lots of discussion about the aging of the advisory workforce and the need for succession planning, but an aging workforce can be an asset, not a problem.