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LPL, Dynasty, Mercer are ramping up their tech C-suites
FINTECH JUL 30, 2021
LPL, Dynasty, Mercer are ramping up their tech C-suites

Recent hires at the advisory firms come at a time when the fastest-growing RIAs are embracing technology tools at higher rates than their peers.

Finalists for Women in Asset Management Awards announced
PRACTICE MANAGEMENT JUL 30, 2021
Finalists for Women in Asset Management Awards announced

More than 100 individuals were named on the short list for awards in 16 categories; the winners will be announced on Sept. 9.

LPL drives assets to $1.1 trillion in Q2
BROKER DEALERS JUL 30, 2021
LPL drives assets to $1.1 trillion in Q2

The largest independent brokerage was firing on all fronts for the three months that ended in June, including recruiting advisers, bringing in net new assets and completing previously announced deals to purchase advisers.

Here's why TIAA can no longer play by its own rules
LIFE INSURANCE AND ANNUITIES JUL 30, 2021
Here's why TIAA can no longer play by its own rules

Times have changed as the giant money manager for professors puts a $97 million penalty behind it.

How firms can effectively communicate an ESG value proposition
OPINION JUL 30, 2021
How firms can effectively communicate an ESG value proposition

It's critical for wealth management firms to create authentic and compelling narratives around their sustainable investing offerings.

Daniel Moisand elected 2022 CFP Board chair-elect
PRACTICE MANAGEMENT JUL 29, 2021
Daniel Moisand elected 2022 CFP Board chair-elect

The Florida adviser is on deck to become the group’s chair in 2023.

AssetMark posts $84 billion in AUM under new CEO
FINTECH JUL 29, 2021
AssetMark posts $84 billion in AUM under new CEO

AssetMark reported a 33.8% increase in AUM following a recent pivot to offer products tailored to registered investment advisers.

Wells Fargo taps Tyers to head independent advisor group
PRACTICE MANAGEMENT JUL 29, 2021
Wells Fargo taps Tyers to head independent advisor group

The former AdvisorEngine exec will oversee FiNet, First Clearing and the wirehouse's RIA business.

Wells Fargo adviser managing $300 million leaves for RIA
RIAS JUL 29, 2021
Wells Fargo adviser managing $300 million leaves for RIA

Chad Bester is joining Mount Yale Capital Group in Minneapolis.

Empower Retirement sues Empower Geographics over web domain
RETIREMENT PLANNING JUL 29, 2021
Empower Retirement sues Empower Geographics over web domain

The rights to the use of the empower.com domain are at the heart of the suit, which was filed in federal court in Illinois.

Robinhood makes public debut after wild year
FINTECH JUL 29, 2021
Robinhood makes public debut after wild year

Robinhood hit the public market after experiencing dramatic growth and heightened scrutiny throughout a pandemic year.

Raymond James sees boost to adviser recruiting
BROKER DEALERS JUL 29, 2021
Raymond James sees boost to adviser recruiting

The company's success in 2021 in recruiting advisers comes at a delicate time as the financial advice industry tries to figure out the best way to return to the office amid the Covid-19 pandemic.

T. Rowe President Sharps to succeed Stromberg as CEO
PRACTICE MANAGEMENT JUL 29, 2021
T. Rowe President Sharps to succeed Stromberg as CEO

Chief Executive Bill Stromberg is retiring after 35 years at the Baltimore-based asset management company.

Robinhood under investigation by Finra ahead of IPO
FINTECH JUL 28, 2021
Robinhood under investigation by Finra ahead of IPO

Robinhood, whose IPO is slated for Thursday, disclosed in a filing that Finra is seeking registration information about its personnel, including the non-registration status of CEO Tenev and co-founder Bhatt.

CFP Board proposes tougher penalties for hiding misconduct
PRACTICE MANAGEMENT JUL 28, 2021
CFP Board proposes tougher penalties for hiding misconduct

The proposals would impose public censure for CFPs who fail to self-report ethical problems. The guidelines are the first recommendations to come from the Commission on Sanctions and Fitness, which was established earlier this year.

Communications glitches between advisers and clients
OPINION JUL 28, 2021
Communications glitches between advisers and clients

Some of the most engaging practice stories arise from things we tell clients that they don’t hear or don’t remember, things we don’t think to tell them, and things they forget to tell us.

Hub names chief investment officer
RETIREMENT PLANNING JUL 28, 2021
Hub names chief investment officer

Brian Collins joins from Harbor Capital Advisors, a Chicago-based investment manager for Harbor Funds and pooled investment vehicles.

Duo managing $740 million join LPL’s employee channel
BROKER DEALERS JUL 28, 2021
Duo managing $740 million join LPL’s employee channel

Kyle Smith and Michael Sandlin are leaving Truist Investment Services in Raleigh, North Carolina.

Duo managing $239 million at Wells Fargo leave for Stifel
PRACTICE MANAGEMENT JUL 28, 2021
Duo managing $239 million at Wells Fargo leave for Stifel

Tim Devlin and Michael Jeremiah are joining the firm in Spokane, Washington.

How one breakaway RIA brought over more assets than it expected
OPINION JUL 27, 2021
How one breakaway RIA brought over more assets than it expected

Not all of our old clients came with us. But the overwhelming majority came and — because of their enthusiasm for our move — some asked us to oversee even more of their assets, while others pointed brand-new business our way.