Invest in Others' Lifetime Achievement Award winner is Peter Chieco for his work with Cooley's Anemia Foundation.
MoneyLion, fintech founded in 2013, joins the ranks of other recently public fintechs like SoFi, Robinhood and Square’s Cash App.
The SEC has been cracking down on disclosures surrounding payments by funds to broker-dealers and RIAs. The agency launched an initiative in February 2018 to target advisory firms that recommended high-fee mutual funds.
Two Truist advisers make the move in Bedford and two in Charlottesville.
A group of three reps in Lincoln, Nebraska, makes the move.
The platform offers a streamlined financial aid application process as well as online courses. The bank said the acquisition will help it build relationships with college students.
The panelist referenced the popular musical 'Hamilton' by Lin-Manuel Miranda, saying that diversity needs to be in 'the room where it happens.'
Peppi Talley and Jessica Hall are joining the firm’s employee unit in Birmingham, Alabama
Regulators said brokerages should not only tell reps what Reg BI says but provide examples of how to meet its requirements.
RPAs with strong wealth management businesses and leadership will command a premium price, among other factors.
Claudia Cypher Kane was tapped as the Financial Planning Association's 2022 treasurer; the group also elected three new directors.
The InvestmentNews event held Tuesday in New York City highlighted top firms and individuals consistently working toward a more equitable and inclusive profession.
Wealth Advisory Services, a hybrid in Doylestown, Pennsylvania, had been affiliated with Raymond James for five years.
Invest in Others' Community Service Award winner is Roger S. Green for his work with Auditory-Verbal Center Inc.
A free meal can help win new clients, but some advisers say the prospecting strategy is dated and projects a bad image.
A NASAA exam sweep shows that more than half of advisers lack policies and procedures to address exploitation of elderly clients.
The addition of Axio Financial will add structured notes to the iCapital platform, marking the first product technically available to retail investors.
The Planned Approach, managing $266 million, is joining Buckingham Strategic Wealth, a St. Louis-based RIA in which Focus owns a majority stake.
It seems as though the pandemic should have provided the motivation for advisers to address their continuity needs.
The plan is aimed at small to midsize businesses that have less than $25 million in retirement plan assets
