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Advisers must embrace fintech risks, opportunities to keep up with retailers
RIAS MAR 15, 2022
Advisers must embrace fintech risks, opportunities to keep up with retailers

A new report from Celent shines light on the trend of traditional retailers like Walmart migrating into the wealth management space.

Raymond James nabs Edward Jones adviser managing $207 million in Texas
BROKER DEALERS MAR 15, 2022
Raymond James nabs Edward Jones adviser managing $207 million in Texas

Lance Murphy, who's based in Houston, has 26 years of experience, much of it with asset management companies.

Wells Fargo boosts CEO Scharf's pay 20% for 2021
PRACTICE MANAGEMENT MAR 15, 2022
Wells Fargo boosts CEO Scharf's pay 20% for 2021

Charlie Scharf earned $24.5 million last year, up from $20.3 million for 2020.

Advisers flock to RIAs in the new normal
RIAS MAR 14, 2022
Advisers flock to RIAs in the new normal

The RIA channel saw a net gain of 1,530 financial advisers in 2021, while the wirehouses had a net loss of 2,065.

How bear markets wreak havoc on succession plans
OPINION MAR 14, 2022
How bear markets wreak havoc on succession plans

When the equity markets decline, as they have this year, they take the value of your firm down with them.

Pro bono work gives advisers way to go beyond helping the rich get richer
PRACTICE MANAGEMENT MAR 14, 2022
Pro bono work gives advisers way to go beyond helping the rich get richer

The payoff for pro bono work doesn't show up on the bottom line. It’s in the returns you get from touching someone’s life at a vulnerable moment.

Advisers struggle to grow new business: AssetMark
FINTECH MAR 14, 2022
Advisers struggle to grow new business: AssetMark

The vast majority of advisers reported having problems finding enough time to focus on business development and client relationships, according to a new study.

LPL adds $210 million all-woman team from Voya
BROKER DEALERS MAR 14, 2022
LPL adds $210 million all-woman team from Voya

Kristi Turchan and Debbie Verker operate as Ascend Wealth Management in Grand Rapids, Michigan.

Rising Star: Catalina Franco-Cicero
PRACTICE MANAGEMENT MAR 13, 2022
Rising Star: Catalina Franco-Cicero

Franco-Cicero, a wealth adviser at Tobias Financial Advisors, is committed to bringing financial planning and financial literacy to underserved populations.

Rising Star: Pammi Bhullar
PRACTICE MANAGEMENT MAR 13, 2022
Rising Star: Pammi Bhullar

Bhullar, who joined Edelman Financial Engines in early 2021 to design and launch its DEI program, said she aims ‘to elevate the voices of all employees.'

See It Be It Role Model: Lee Thoresen
PRACTICE MANAGEMENT MAR 13, 2022
See It Be It Role Model: Lee Thoresen

Thoresen, senior counsel for RBC Wealth Management, is an active member of the firm’s Diversity Leadership Council and recently finished two terms as chair of its Multicultural Employee Alliance.

See It Be It Role Model: Mac Gardner
PRACTICE MANAGEMENT MAR 13, 2022
See It Be It Role Model: Mac Gardner

After 20 years as a financial adviser, Gardner decided to pursue his passion for financial literacy and created FinLit Tech, a company with an app that gamifies financial education for grade school students.

See It Be It Role Model: Brandon Dixon-James
PRACTICE MANAGEMENT MAR 13, 2022
See It Be It Role Model: Brandon Dixon-James

Dixon-James set up his own firm, Resilient Wealth Management, in 2013, and says independence lets him pursue his passion for education, which includes volunteering in financial literacy programs for children.

See It Be It Role Model: Ankur Crawford
PRACTICE MANAGEMENT MAR 13, 2022
See It Be It Role Model: Ankur Crawford

Crawford, a portfolio manager at Alger and the mother of three children, formed a networking group for women at the firm and for others in investment and finance.

See It Be It Role Model: Marlōn Hall
PRACTICE MANAGEMENT MAR 13, 2022
See It Be It Role Model: Marlōn Hall

Hall, a regional vice president at Jackson National Life Distributors, founded the Association for Wholesaling Diversity in 2016.

Rising Star: Peggy Haslach
PRACTICE MANAGEMENT MAR 13, 2022
Rising Star: Peggy Haslach

Haslach, who started working as an adviser in her 50s, specializes in veterinarians and wants to continue serving diverse groups.

Rising Star: Mercy Ameyaw
PRACTICE MANAGEMENT MAR 13, 2022
Rising Star: Mercy Ameyaw

Ameyaw, director of municipal bond sales at Raymond James, got into financial services after a 17-year military career, and she’s active in the firm’s Veterans Inclusion Network.

See It Be It Role Model: Thomas Dedrick
PRACTICE MANAGEMENT MAR 12, 2022
See It Be It Role Model: Thomas Dedrick

Dedrick, senior vice president of investments at Raymond James & Associates, worked his way up from the mailroom at Merrill Lynch.

Helping investors ‘weatherize’ their retirement dollars
OPINION MAR 11, 2022
Helping investors ‘weatherize’ their retirement dollars

As inflationary pressures mount, retirement savers are looking for solutions that offer growth opportunities while limiting downside risk.

How to improve fiduciary outcomes in a volatile world
PRACTICE MANAGEMENT MAR 11, 2022
How to improve fiduciary outcomes in a volatile world

Financial advisers are going to need to assume an even greater leadership role amid the current volatility and uncertainty, because during a crisis, clients aren't looking for a fiduciary.