The regulator is considering how to utilize in-person and remote participation to capture 'the best of both worlds,' CEO Robert W. Cook said.
Financial advisers typically don't receive end-of-the-year bonuses. But that doesn't mean others in the broader financial services industry won't see a bumper year.
A new cohort of social media influencers is taking its knowledge and expertise into the financial realm, breathing new life into stodgy prospecting campaigns that have largely relied on blog posts and dinner seminars.
The VanEck Bitcoin Strategy ETF began trading after a multiweek wait, and days after the SEC rejected the firm's proposal for an ETF that would hold Bitcoin directly.
The woman-led management team retains a majority stake in the firm, while investor Abry Partners is exiting.
The firm is also taking an equity stake in BondNav's operator, InspereX.
As cybercriminals become bolder and more sophisticated in their efforts to hack into networks, it's more important than ever for your firm to have a comprehensive plan to protect its data.
Winget Benton Wealth Management is comprised of advisers Al Winget, Rob Benton and Andrew Robson. The advisers are moving to LPL's recently launched employee adviser channel.
Successful advisory firms can act swiftly when an opportunity arises because they've already taken steps to position themselves to do so.
Amid the massive pandemic exodus, advisers have been guiding clients through career changes or early exits from the workforce. But some advisers have also been striking out on their own.
Seven industry notables offer their views on what the financial advice business will look like in coming years.
The prevailing trend of advisers going independent has only gathered steam, according to third-quarter Advisers on the Move data.
Finra said at the start of the year it was looking into possible violations by registered representatives who applied for coronavirus-relief loans.
The tool, Prospect Accelerator, covers areas including tax, estate and insurance opportunities.
The alternative investments platform has funded more than $2.4 billion in investments across a range of asset classes since its founding in 2015.
In the ultimate niche advisory strategy, veterans are stepping in to help current and former members of the military navigate the nuanced world of financial planning.
Sam Cone, Jessica McNamee and Grace Yung are joining the group, whose members have diverse backgrounds and specialties.
In a separate exam sweep, the SEC found that robo-advisers weren't acting in clients' best interests and were misleading in their advertising.
The terms of Nexo's deal for a stake in Texture Capital Holdings were not disclosed.
Despite 2020’s multi-faceted disruption, many advisory firms managed to deliver strong revenue growth and profitability. However, a select group of firms significantly outperformed peers in these areas and others – by driving three key strategies.
