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Raymond James affiliate managing $625 million moves to LPL
BROKER DEALERS SEP 01, 2021
Raymond James affiliate managing $625 million moves to LPL

The six-adviser team at TBT Financial Services is based in Tyler and Longview, Texas

Four-person Merrill team managing $391 million joins UBS
PRACTICE MANAGEMENT SEP 01, 2021
Four-person Merrill team managing $391 million joins UBS

Brenner Wealth Management Group is based in Santa Barbara, California.

Fintech firm offers annuity selection tool
RETIREMENT PLANNING SEP 01, 2021
Fintech firm offers annuity selection tool

Luma Financial Technologies' new tool, Luma Compare, lets advisers compare a variety of products.

4 key Olympic lessons for advisers
OPINION SEP 01, 2021
4 key Olympic lessons for advisers

Here are the top four lessons I walked away from the Olympics with and that I will strive to instill in my team.

Small acts of kindness that build your advisory business
OPINION SEP 01, 2021
Small acts of kindness that build your advisory business

Treating clients as we would our dearest friends is not only the right thing to do, but tends to result in a lot of referrals from happy, well-cared-for clients.

Raymond James delays office return amid Florida virus surge
PRACTICE MANAGEMENT SEP 01, 2021
Raymond James delays office return amid Florida virus surge

The firm has pushed its return-to-office date back to the middle of October, after having asked some employees to return to work next week.

Fidelity to hire 9,000 workers across the US
PRACTICE MANAGEMENT AUG 31, 2021
Fidelity to hire 9,000 workers across the US

The hiring push is the fund company’s third in less than a year, reflecting the boom in individual investing that has lifted the entire trading industry.

PayPal to launch stock trading on its mobile app
FINTECH AUG 31, 2021
PayPal to launch stock trading on its mobile app

The payments giant enters a competitive but flourishing marketplace for online brokerages as it evolves its app to enable millions to trade individual stocks. PayPal currently has approximately 400 million users.

Wells Fargo team managing $295 million jumps to LPL
BROKER DEALERS AUG 31, 2021
Wells Fargo team managing $295 million jumps to LPL

Allison Taylor leads the all-female group in Huntington Beach, California.

Lincoln Financial names Ellen Cooper CEO
RETIREMENT PLANNING AUG 31, 2021
Lincoln Financial names Ellen Cooper CEO

Cooper, the company's chief investment officer, succeeds Dennis Glass, who has been chief executive since 2007.

Helping philanthropic clients get the most out of their giving
RETIREMENT PLANNING AUG 30, 2021
Helping philanthropic clients get the most out of their giving

David Foster found his niche when he realized how difficult it was to make sure his donations were having the desired impact.

SEC fines multiple firms for cybersecurity lapses that exposed client data
PRACTICE MANAGEMENT AUG 30, 2021
SEC fines multiple firms for cybersecurity lapses that exposed client data

The agency fined 8 firms, including Cetera and Cambridge, a total of $750,000 for inadequate policies and procedures to protect customer information.

Vanguard robo-adviser to offer active mutual funds
EQUITIES AUG 30, 2021
Vanguard robo-adviser to offer active mutual funds

The funds will be made available for clients of its robo-adviser Personal Advisor Services through advised portfolios as part of a five-fund active equity offer.

Turning on a dime to solve the ‘investor problem’
OPINION AUG 30, 2021
Turning on a dime to solve the ‘investor problem’

Great advisers with good tools were unable to prevent far too many investors from making emotional decisions amid the March 2020 market volatility.

American Century rigs hiring at its employees' expense
PRACTICE MANAGEMENT AUG 27, 2021
American Century rigs hiring at its employees' expense

I thought we were all supposed to be free-wheeling capitalists in the financial advice industry — unless you recently worked for mutual fund giant American Century Companies and at least one of its local competitors.

Budgeting app Douugh launches robo advice
FINTECH AUG 27, 2021
Budgeting app Douugh launches robo advice

The robo-adviser allows users to choose between six types of portfolios using exchange-traded funds that are curated by investment experts.

As Covid cancels industry events, advisers weigh  attending what's left
PRACTICE MANAGEMENT AUG 27, 2021
As Covid cancels industry events, advisers weigh attending what's left

FPA is cancelled, but Morningstar is still on track. The industry is on edge over how to proceed in the most responsible fashion possible.

Tired of being on camera? You’re not alone
RETIREMENT PLANNING AUG 27, 2021
Tired of being on camera? You’re not alone

Being on video caused workers to become disengaged and participate less than if they spent the meeting off-camera, a recent study found.

A father-son $500 million duo at Merrill Lynch moves to RBC
PRACTICE MANAGEMENT AUG 27, 2021
A father-son $500 million duo at Merrill Lynch moves to RBC

John and Ryan Birkhauser and their team are based in Lake Forest, Illinois.

Clients both happy and unhappy
OPINION AUG 27, 2021
Clients both happy and unhappy

My happiest client thinks I’m a true investment genius. My unhappiest is, of course, no longer my client.