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Stop devaluing your business
OPINION AUG 03, 2021
Stop devaluing your business

If the perceived value of an RIA is tied to the adviser's investing prowess, it makes it hard to develop a succession plan or sell the firm.

When knowledge backfires
OPINION AUG 03, 2021
When knowledge backfires

Understanding what a company does can skew our perceptions of the risk of investing in the company.

Merrill Lynch quintet managing $427 million moves to Raymond James
BROKER DEALERS AUG 03, 2021
Merrill Lynch quintet managing $427 million moves to Raymond James

The family-based team is joining the firm's employee unit and opening an office in West Fort Worth, Texas.

Charitable giving must support children’s mental health
OPINION AUG 03, 2021
Charitable giving must support children’s mental health

More financial support is needed to combat the gap in financial investment in children’s mental health and improve access to care.

Fintech readies factor-based risk model for advisers
FINTECH AUG 02, 2021
Fintech readies factor-based risk model for advisers

Fabric will offer access to MSCI's factor-based risk model that is designed to provide institutional risk management tools to advisers.

3 brokers in hot water over sketchy Covid-19 loan applications
PRACTICE MANAGEMENT AUG 02, 2021
3 brokers in hot water over sketchy Covid-19 loan applications

The Financial Industry Regulatory Authority Inc. said at the start of the year it was looking into registered representatives who applied for coronavirus-relief loans for possible violations.

Square to buy Afterpay for $29 billion
FINTECH AUG 02, 2021
Square to buy Afterpay for $29 billion

The digital payments platform says the acquisition of the Australian buy now, pay later company will allow it to capitalize on the shift away from traditional credit, especially among younger consumers.

From reactive to proactive: Ramp up your diversity and inclusion efforts
OPINION AUG 02, 2021
From reactive to proactive: Ramp up your diversity and inclusion efforts

Given the looming shortage of advisers, the industry must improve its diversity and inclusion efforts so it can attract and retain employees from diverse groups.

Trio managing $170 million switches to LPL from Kestra
BROKER DEALERS AUG 02, 2021
Trio managing $170 million switches to LPL from Kestra

The Glen Allen, Virginia-based firm was founded in 2015 and operates as Capstone Financial Partners.

SEC approves Finra rule to rein in rogue brokerages
PRACTICE MANAGEMENT JUL 30, 2021
SEC approves Finra rule to rein in rogue brokerages

The rule requires firms with a history of misconduct or that employ a high number of reps with disciplinary records to deposit cash into an account controlled by the Financial Industry Regulatory Authority Inc.

A socialist adviser helps far-left clients accumulate wealth while fighting for financial fairness
PRACTICE MANAGEMENT JUL 30, 2021
A socialist adviser helps far-left clients accumulate wealth while fighting for financial fairness

Zach Teutsch is proof socialists aren’t always averse to accumulating wealth as long as they can still fight the good fight against capitalism.

Deutsche sees slew of departures in US wealth unit
PRACTICE MANAGEMENT JUL 30, 2021
Deutsche sees slew of departures in US wealth unit

At least 10 senior bankers and numerous junior employees across the world’s largest wealth management market have left, according to people familiar with the matter.

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.