The four-adviser, eight-person Hambleton Fieler Group is based in Cincinnati, Ohio, and will be Rockefeller's first private wealth team in Ohio.
Main Street Financial Life Advisors, founded in 1999 by J. Joseph Roman, is based in Moorestown, New Jersey.
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Morgan Stanley's plans to offer funds that will enable ownership of Bitcoin puts pressure on its competitors to go down a similar route. The company is the first major U.S. bank with plans to give its wealthiest clients exposure to cryptocurrencies.
The president of the $16 billion RIA told attendees at the InvestmentNews Women Adviser Summit that that it's too early to guess when things will get back to normal.
Wall Street banks have stayed mostly on the sidelines as cryptocurrencies surged in popularity. While futures contracts based on Bitcoin and Ether, the second-largest digital currency, are available at major exchanges, none of the six biggest U.S. banks have until now offered their customers access.
Firm leaders understand the cybersecurity threat is real. But have broker-dealers taken appropriate precautions to protect advisers and their clients?
The four-person, two-adviser unit will partner with an existing group at UBS Private Wealth Management in Kenwood, Ohio.
With pressures on Robinhood, eToro’s large user base and scale places the U.K.-based challenger front and center to disrupt the U.S. market.
Selling away charges are at the center of three large customer complaints against ex-broker John Krohn. In 2018, Finra reached a settlement with Krohn in which he was suspended from the industry for three months and paid a fine of $10,000.
Advisers should focus on reducing client attrition and adding more new clients, and make certain they're charging a fee in line with the market.
The insurance company's chief growth officer succeeds Walter White, who will retire at year-end.
The more fee-based business you do, the more imperative it is to focus on current clients and your ability to hold onto them.
The new tool, called PracticeLab, is similar to the services advisers are getting from custodians and other business partners.
The GAO concluded that plan sponsors, record keepers and others have little to go on as far as guidelines from the Department of Labor and that it isn’t clear whether fiduciaries have the responsibility to minimize cybersecurity risks.
Given the events so far this year, regulation of these topics is likely top of mind for policymakers under Biden, according to experts.
Less than a week after notching its 15th deal in as many months, Toronto-based CI Financial announced the acquisition of an Atlanta-based RIA with $4.7 billion in client assets.
The firm is cautiously increasing hiring at the moment, essentially new advisers, but at a lower rate than in the past. Training financial advisers takes time and is also expensive, with a high percentage of trainees typically not making the cut.
During this time of consolidation in the asset management industry, and activity in fintech, the adoption of digital strategies and tools by both will better enhance their chances of survival, or continued success.
Fuller, who had been executive vice president of Lincoln Group, succeeds Mark Mullin, who becomes board chairman.
