Financial services companies have generally adopted remote work policies, but as offices reopen, the next issue becomes who is and isn't vaccinated.
Wealthtech has exploded with innovation over the past decade. Today, more firms are merging to create coordinated technology ecosystems.
As firms strive to build enterprise value, create ways for future partners to buy in and design a lasting business model, it may be time to consider adopting an equity-based ownership structure.
The Squier & Martinez group is opening an office for the firm in Grand Junction, Colorado.
In his first appearance on Capitol Hill since being confirmed as SEC chair, Gensler also addressed ESG and the gamification of investing.
The bank is planning to appoint a successor to Chairman Axel Weber, 64, at its annual general meeting next year.
Heald Wealth Management changes firms in Wellesley, Massachusetts
A new tool tracks spending and sends alerts about unpaid bills and potential elder fraud, helping families to organize and protect the daily finances of an aging loved one.
The acquisition follows the firm’s merger with Tegra118 that drove it to a $1 billion valuation. Market volatility has accelerated a focus on financial planning.
Only 16% of advisers are women, while 3.8% are Hispanic, 2.6% are African American and 2.1% Asian, according to a study by Cerulli Associates and the Investment Adviser Association.
The recent Government Accountability Office report and even more recent Department of Labor guidance on cybersecurity hammer home the reality that protecting plan and especially participant data has become a fiduciary responsibility.
Called Totus Wealth Management, the group had been registered until the end of last month with MML Investors Services, the broker-dealer arm of MassMutual, the insurance company, according to BrokerCheck.
After its acquisition in July 2019, United Capital became Goldman Sachs Personal Financial Management division, combining the then-RIA’s emphasis on getting personal with the Wall Street bank's 150-year legacy. The Personal Financial Management unit is growing via acquisitions and Joe Duran outlines how advisers can benefit.
Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
Employing insights from behavioral finance when putting together the trusted contact form can increase the likelihood a client names a trusted contact, according to a recent report from the Ontario Securities Commission.
Robo-advisers could be entryways for new market participants to gain access to crypto investing, while advocates wait for regulators to make a decision on a Bitcoin exchange-traded fund.
The seven-person group will join its Newport Beach, California, office.
The online brokerage was responding to Buffett's comment that Robinhood is contributing to the "casino aspect" of the stock market.
Lawsuits have popped up alleging wide-reaching conspiracies and gamification strategies at some of the most well-known firms. Online brokerages are increasingly responsible for rebuilding public trust.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
