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When it comes to planning for themselves, do financial advisers seek advice from other advisers?
RIAS AUG 11, 2021
When it comes to planning for themselves, do financial advisers seek advice from other advisers?

InvestmentNews Research asked financial advisers if they solicit advice from other advisers when it comes to planning their own retirement. Their answers may be surprising.

Finra targets options trading in latest exam sweep
ALTERNATIVES AUG 11, 2021
Finra targets options trading in latest exam sweep

The regulator is probing how brokerages approve and monitor options trading for customers and is requesting information pertaining to self-directed accounts and accounts in which a registered representative made recommendations.

Helping women advisers gain a seat at the table
OPINION AUG 11, 2021
Helping women advisers gain a seat at the table

While there's some good news about women attaining corporate board seats, progress is still slow. Here are some suggestions on how women advisers can attain leadership roles.

Hybrid managing $300 million moves to Arkadios
PRACTICE MANAGEMENT AUG 11, 2021
Hybrid managing $300 million moves to Arkadios

Personal Portfolio, based in Redwood City, California, previously was affiliated with Investment Architects.

Wealthtech funding drops 21% to $4.4 billion in Q2
FINTECH AUG 10, 2021
Wealthtech funding drops 21% to $4.4 billion in Q2

Despite the slump, 12 wealthtechs raised mega-rounds and a growing interest in alternative investment platforms also drove funding in adviser technology.

DPL and tech firm launch online insurance marketplace
RETIREMENT PLANNING AUG 10, 2021
DPL and tech firm launch online insurance marketplace

The platform, called the SS&C Advent Insurance Marketplace, allows advisers to access a range of fee-only products through Black Diamond Wealth Platform and DPL's proprietary Product Discovery tools.

Driving diversity and inclusion in the independent financial services industry
OPINION AUG 10, 2021
Driving diversity and inclusion in the independent financial services industry

To fulfill our mission of expanding access to financial advice to all corners of the country, our membership and our profession must reflect the makeup of our overall society.

American Express returns to financial planning
FINTECH AUG 09, 2021
American Express returns to financial planning

The company unveiled a new tool, called My Financial Plan, that is certainly akin to the work done by financial advisers, but is stressing publicly that it is not eying an avenue back into the wealth management business.

Morgan Stanley bucks trend of more advisers leaving wirehouses
PRACTICE MANAGEMENT AUG 09, 2021
Morgan Stanley bucks trend of more advisers leaving wirehouses

The company maintained its healthy recruiting pace over the first two quarters of the year even as losses continued to mount among its wirehouse competitors.

How fintechs are tackling racial and gender wealth gaps
FINTECH AUG 09, 2021
How fintechs are tackling racial and gender wealth gaps

Fintechs have the opportunity to confront race and gender wealth gaps by creating more opportunities for wealth building and investing.

Indies managing $376 million switch to Securities America
RIAS AUG 09, 2021
Indies managing $376 million switch to Securities America

Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.

A chance meeting leads an adviser to a bountiful niche practice
RETIREMENT PLANNING AUG 09, 2021
A chance meeting leads an adviser to a bountiful niche practice

As a rookie adviser, Vidal Peoples met a doctor in need of comprehensive financial planning. He taps into the kind of professionals whose incomes can skyrocket but are also saddled with mountains of student loan debt.

Merrill Lynch veteran Michelle Avan dies
PRACTICE MANAGEMENT AUG 09, 2021
Merrill Lynch veteran Michelle Avan dies

Avan recently became SVP and head of global women's and under-represented talent strategy, global human resources for Bank of America.

Diversity, Equity & Inclusion 2021 Lifetime Achievement Winner: Shundrawn Thomas
PRACTICE MANAGEMENT AUG 07, 2021
Diversity, Equity & Inclusion 2021 Lifetime Achievement Winner: Shundrawn Thomas

The efforts of Shundrawn Thomas might seem almost subtle, but they are not. In fact, little about Thomas, the president of Northern Trust Asset Management, is subdued, although his demeanor and general presentation suggest otherwise.

Nasdaq wins SEC support for plan to diversify boards
PRACTICE MANAGEMENT AUG 07, 2021
Nasdaq wins SEC support for plan to diversify boards

The exchange will direct its listed companies to pursue board diversity — by having at least one female board member and at least one who identifies as a member of an underrepresented minority or LGBTQ — or explain why they don’t.

Envestnet bolsters $315 billion AUM with expanded services
FINTECH AUG 06, 2021
Envestnet bolsters $315 billion AUM with expanded services

The leading TAMP by assets is racking up the number of advisers on its platform and new accounts are opening at a faster pace than prior quarters, said CEO Bill Crager in an earnings call.

Janney adds five reps who managed $1 billion at Truist
PRACTICE MANAGEMENT AUG 06, 2021
Janney adds five reps who managed $1 billion at Truist

The advisers are based in Virginia and the Carolinas; there's also one rep joining Janney from Wells Fargo.

Former LPL adviser's alleged discrimination highlights company culture issues
PRACTICE MANAGEMENT AUG 06, 2021
Former LPL adviser's alleged discrimination highlights company culture issues

Eileen Cure was dropped from LPL after viral videos surfaced of her allegedly telling employees she will not interview Black job applicants.

BlackRock, Wells Fargo delay return to office on Covid concerns
PRACTICE MANAGEMENT AUG 05, 2021
BlackRock, Wells Fargo delay return to office on Covid concerns

The shifts signal that the financial services industry is rethinking its return-to-office plans as the highly contagious delta variant sweeps across the country.

Wells Fargo duo managing $266 million goes indie with Raymond James
BROKER DEALERS AUG 05, 2021
Wells Fargo duo managing $266 million goes indie with Raymond James

Jeff Anderson and Doug McClure of Bothell, Washington, affiliate through Mainspring Wealth Advisors, an office of supervisory jurisdiction.