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Schwab-TD integration on track with more layoffs expected: Bernie Clark
PRACTICE MANAGEMENT JUN 08, 2021
Schwab-TD integration on track with more layoffs expected: Bernie Clark

Head of Schwab Advisor Services Bernie Clark gave progress updates, while unveiling the firm's annual Independent Advisor Survey Outlook. Results showed sweeping adviser optimism and lessons learned from 2020.

As RIAs evolve, C-suite specialization begins to emerge
OPINION JUN 07, 2021
As RIAs evolve, C-suite specialization begins to emerge

When RIAs add professional managers beyond the founding group of advisers to add professional managers, they can finally achieve the levels of growth and profitability the advisers envisioned upon launching their firm.

Ric Edelman stepping down from current role at Edelman Financial Engines
RIAS JUN 07, 2021
Ric Edelman stepping down from current role at Edelman Financial Engines

Edelman will stay on as a strategic adviser, a board member and the firm’s largest individual shareholder. Currently, he serves as the firm's chairman of financial education and client experience.

FPA launches second virtual externship program
PRACTICE MANAGEMENT JUN 07, 2021
FPA launches second virtual externship program

More than 900 students, career changers and current practitioners are enrolled in the eight-week program.

Olympian Apolo Ohno joins Personal Capital wellness campaign
FINTECH JUN 07, 2021
Olympian Apolo Ohno joins Personal Capital wellness campaign

Personal Capital is the latest wealthtech to leverage star power to promote brand awareness via financial wellness marketing campaigns.

Finra proposes annual regulatory education
PRACTICE MANAGEMENT JUN 07, 2021
Finra proposes annual regulatory education

The regulator's proposed rule would also allow brokers to leave the industry and maintain their registration longer if they complete continuing education, a move that could benefit women who step away to have families.

Business and life lessons from a needle in a haystack
OPINION JUN 07, 2021
Business and life lessons from a needle in a haystack

Asian American leader shares her insight, such as recognizing that you bring something special and unique.

The future of advice looks bright
PRACTICE MANAGEMENT JUN 07, 2021
The future of advice looks bright

As has been the case since the inception of the 40 Under 40 program, as we judged this year’s nominees, we found ourselves overwhelmed by the quality of candidates.

Citi goes on hiring spree for financial advisers
PRACTICE MANAGEMENT JUN 04, 2021
Citi goes on hiring spree for financial advisers

CEO Jane Fraser cites the bank's push to expand its wealth management offerings around the globe, but says Citi will structure compensation so the bank's shareholders will have more power than the wealth managers.

SEC fines robo-adviser Emperor Investments for false disclosures
FINTECH JUN 04, 2021
SEC fines robo-adviser Emperor Investments for false disclosures

SEC slapped Emperor Investments with a $25,000 fine. The charges mark the third enforcement action brought by the SEC against digital advisers.

LPL Financial taps SmartAsset for investor prospecting
FINTECH JUN 03, 2021
LPL Financial taps SmartAsset for investor prospecting

SmartAsset, with a reach of more than 100 million consumers, matches qualified investors who are searching for financial advice.

Wandering financial advisers must be corralled, but who will break them in?
PRACTICE MANAGEMENT JUN 02, 2021
Wandering financial advisers must be corralled, but who will break them in?

The industry finally has the data about rogue brokers who take refuge in the land of insurance sales, and the picture is pretty ugly.

Team managing $221 million joins Woodbury from Raymond James
BROKER DEALERS JUN 02, 2021
Team managing $221 million joins Woodbury from Raymond James

The trio of advisers operates as Compass Wealth Solutions and is based in Portland, Indiana.

Niche financial planning seen as the next frontier
PRACTICE MANAGEMENT JUN 02, 2021
Niche financial planning seen as the next frontier

As fee-based advice becomes a commodity, more RIAs are finding opportunities to target specific types of clients. Niche planning is easier for advisers who are just starting out because it doesn’t mean screening out some existing clients.

ETF tracking LGBTQ index is launched
PRACTICE MANAGEMENT JUN 02, 2021
ETF tracking LGBTQ index is launched

The exchange-traded fund tracks an index of U.S. large-cap companies that have a commitment to LGBTQ diversity and inclusion.

Patrick Murphy steps down as CEO of John Hancock Retirement
RETIREMENT PLANNING JUN 02, 2021
Patrick Murphy steps down as CEO of John Hancock Retirement

Sue Reibel, who joined Hancock’s parent firm in 1994, will be named chief executive of the firm and was most recently the global head of Manulife Investment Management retirement.

Bob Doll joins Crossmark as chief investment officer
PRACTICE MANAGEMENT JUN 02, 2021
Bob Doll joins Crossmark as chief investment officer

The veteran market strategist will lead the faith-based firm’s investment team and will be responsible for growing its investment offerings, specifically focusing on several new actively managed products.

Trio managing $10.5 billion moves to UBS
PRACTICE MANAGEMENT JUN 02, 2021
Trio managing $10.5 billion moves to UBS

The six-person team is leaving J.P. Morgan Private Bank in San Francisco.

More advisers are planning to use crypto: FPA
FINTECH JUN 01, 2021
More advisers are planning to use crypto: FPA

More than a quarter of advisers indicated that they plan to increase their use or recommendation of cryptocurrencies over the next 12 months.

'Womenomics' researcher to bring ESG to Japanese startups
ESG JUN 01, 2021
'Womenomics' researcher to bring ESG to Japanese startups

Kathy Matsui, formerly of Goldman Sachs, starts female-run venture fund to support health care, fintech and other young firms.