Joseph Myer has formed Veritas Capital Management in Ashburn, Virginia, and is affiliating with LPL through Gladstone Wealth.
The key for advisers is finding a balance where they maintain the maximum freedom that enables them to focus on their purpose.
InvestmentNews is proud to present our fourth annual Excellence in Diversity, Equity and Inclusion Award individual winners and firm finalists. The 15 individuals and 16 firms are superstars when it comes to boosting awareness of the need and the importance of creating a more diverse financial advice profession.
Financial preparedness is only a piece of the equation; clients must understand the impact retirement will have on every part of their lives.
To avoid data inefficiency, alternative managers must take a tech-led approach to meet the evolving needs of their clients, State Street says.
As robos have become increasingly popular, their automated investing choices have come under greater scrutiny.
The $250 billion RIA aggregator is adding Sonora Investment Management in Tucson, Arizona, and Collins Investment Group in Rockville, Maryland.
How can the financial advice industry know whether its attempts to hire more women, Blacks, Latinos and Asians are working if there is no accurate, unified measure of success or failure?
Whether it’s communicating uncomfortable changes to clients or asking your staff to step up their performance, here's a simple model you can use to say what needs to be said when you don’t quite know how to say it.
The same week that Finra levied a record $70 million penalty against the online trading app, Robinhood filed for an IPO Thursday, becoming one of the year's most high-profile listings.
The company said the SEC is looking at disclosures around the Schwab Intelligent Portfolios product, which had $64 billion in client assets at the end of March.
Together, DACFP and InvestmentNews will be providing subscribers with content and educational opportunities to increase your knowledge about blockchain and digital assets, and access to the product and service providers in that ecosystem, so you can give investors the advice, products and services they need.
The deal adds to what is already a record-breaking pace of consolidation in the RIA space, with 100 deals announced in the first six months of 2021.
The SEC launched its Share Class Selection Disclosure Initiative in February 2018 to target advisory firms that recommended high-fee mutual funds.
The new feature on the IBD's platform lets advisers use a variety of models within a client's portfolio,
The company says the tools that are currently available don't focus enough on clients' needs.
The SEC alleges the firm failed to safeguard clients from Hector May, who pleaded guilty to stealing $8 million from clients and was sentenced to 13 years in prison.
The new name, Digital Assets Council of Financial Professionals, reflects a broader charter to serve every company and all financial advisers, Edelman says.
The bank's employees will have the option of working from home at least part time, an executive said, setting it apart from others who are taking a more hard-line approach, like JPMorgan and Goldman Sachs.
Eight Kansas reps will affiliate with the independent unit of Raymond James through Beyond Wealth Advisors.
