Empathy is a good beginning, but it needs to be accompanied by action.
The banks told U.S. employees they'll receive a floating paid day off to mark the holiday commemorating the end of slavery in the U.S., which President Biden signed into law Thursday.
Chris Chen, who began developing his niche 12 years ago, said advisers should identify niches that are as specific as possible.
The four-adviser Seidler Cattich group is joining the firm in San Francisco.
Michael Domingos, the firm's head of sales and strategic relations, has been at Prudential for 28 years and was appointed to his current role in 2019. The news comes several months after a report that Prudential was considering a sale of its retirement business.
Two deadlines are looming this summer for investment adviser representatives working in New York state related to the new regulation, which will allow potential clients to more easily review advisers' backgrounds.
The Ann Arbor, Mich.-based independent broker-dealer, which has close to 600 reps and advisers, reported $124.3 million in total revenue in 2019.
Alicia Curtis and Jyl Barnard of Curtis Barnard Financial Services and Chris Dearing of Riverfront Financial share an office in Peoria, Illinois.
Five years ago, a new leadership team decided to focus on recruiting and retaining diverse employees and supporting diverse communities. The firm concentrated on two areas: increasing the number of women financial advisers and increasing racial and ethnic diversity.
The acquisition, subject to regulatory approvals, is meant to complement the launch of Chase as a digital bank in the UK later this year. Nutmeg manages more than $4.9 billion in assets.
Bitwise CEO Hunter Horsley said the firm is prioritizing hiring to provide client service, education and analyst relationships to advisers.
The broker-dealer is potentially facing a penalty from the Securities and Exchange Commission due to sales of high-fee mutual funds. The regulator launched its Share Class Selection Disclosure Initiative in February 2018.
The survey also finds sense among women that their compensation has not kept pace with their experience and responsibilities.
Open rates and click-through metrics can provide unique insight into your prospects’ level of interest, but they can’t fully gauge the connection you’re starting to form.
The goal is to turn the RIA space into community banks, giving RIAs the same access to banking tools as a wirehouse adviser, according to CEO Tyrone Ross.
The six-adviser team, Puzzle Wealth Solutions, is affiliating with LPL Financial through OSJ Gladstone Wealth Partners.
Driving the recruiting overhaul at wirehouses over the past few years has been the tremendous expense of recruiting experienced financial advisers.
Addepar, a software used by advisers to track how investment portfolios perform across asset classes, raised an additional $150 million from New York City-based hedge fund D1 Capital Partners.
As clients were bombarded with social media messaging during the pandemic, advisers cut through the clutter by taking a more strategic approach.
Mercedes Elias, the new co-CEO of AmeriVet Securities, approached her career on Wall Street much like her decade-long ascent through the Marine Corps.
