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Women have a crucial role to play in boosting the diversity of advice
WOMEN ADVISOR COMMUNITY NOV 19, 2020
Women have a crucial role to play in boosting the diversity of advice

InvestmentNews' 2019 Women to Watch honored for their successes and support of other women

Morgan Stanley fires 10 reps over account takeovers from retired advisers
PRACTICE MANAGEMENT NOV 19, 2020
Morgan Stanley fires 10 reps over account takeovers from retired advisers

The terminations raise questions about the company's former advisor program known as FAP

Adviser managing $160 million at Wells Fargo joins Baird
BROKER DEALERS NOV 19, 2020
Adviser managing $160 million at Wells Fargo joins Baird

Mario Perez is moving to the Baird office in Sacramento, California

Trio managing $380 million at RBC goes indie with LPL
BROKER DEALERS NOV 19, 2020
Trio managing $380 million at RBC goes indie with LPL

George Chardukian, Adam Goldstein and Maria Peralta form Adara Wealth Management in Tucson, Arizona

Wells Fargo team managing $1.15 billion exits to Stifel
BROKER DEALERS NOV 19, 2020
Wells Fargo team managing $1.15 billion exits to Stifel

Stolz-Smith Financial Consulting Group is opening a branch in Midland, Michigan

Fare thee well, 2020
PRACTICE MANAGEMENT NOV 18, 2020
Fare thee well, 2020

In honest reflection, we all owe thanks to different groups that enabled us to enter 2021 stronger and more confident

To survive in the COVID era, RPAs must adapt
RETIREMENT PLANNING NOV 18, 2020
To survive in the COVID era, RPAs must adapt

Firms that are clinging to old ways of doing business will struggle to grow, or even keep their doors open

Duo managing $350 million at UBS move to RBC
PRACTICE MANAGEMENT NOV 18, 2020
Duo managing $350 million at UBS move to RBC

Samuel Martello and Brian Sullivan switch firms in Cleveland

Poll question: What financial buzzword do you hate most?
RIAS NOV 18, 2020
Poll question: What financial buzzword do you hate most?

People often have trouble understanding basic financial terms, and the language used in the industry isn't helping

CFP Board study provides map for increasing diversity in advice sector
RIAS NOV 18, 2020
CFP Board study provides map for increasing diversity in advice sector

Case studies of financial firms including Charles Schwab, Fidelity and Merrill Lynch show the importance of making diversity efforts intentional and strategic

Robert Moore returns to advice business to lead giant LPL branch
BROKER DEALERS NOV 18, 2020
Robert Moore returns to advice business to lead giant LPL branch

The shift in management is not a sign that New Jersey-based Private Advisor Group is for sale, owner says

Oranj to close by year's end
FINTECH NOV 18, 2020
Oranj to close by year's end

The Chicago-based fintech has notified its adviser clients that it is currently winding down operations with a transition plan in place

Addepar closes on $117 million funding round
FINTECH NOV 18, 2020
Addepar closes on $117 million funding round

The money will be used to expand the company’s wealth management platform

UBS Wealth picks ex-NFL player to lead athlete segment
PRACTICE MANAGEMENT NOV 18, 2020
UBS Wealth picks ex-NFL player to lead athlete segment

Adewale Ogunleye is a former Pro Bowl defensive end with the Chicago Bears

Envestnet's CEO advocates for federal standard on data privacy
FINTECH NOV 17, 2020
Envestnet's CEO advocates for federal standard on data privacy

The chief executive officer is working with regulators to help build a federal rule to govern data usage

Should 401(k)s require a test for savers to invest outside of target dates?
RETIREMENT PLANNING NOV 17, 2020
Should 401(k)s require a test for savers to invest outside of target dates?

Terms like 'mutual fund' and 'passive investing' are misunderstood, and those who can't define them are less likely to invest and save for retirement, according to a new report

Trio managing $417 million heads to Raymond James
BROKER DEALERS NOV 17, 2020
Trio managing $417 million heads to Raymond James

The team moved from Geneos Wealth Management

Business and mastering the four freedoms
OPINION NOV 17, 2020
Business and mastering the four freedoms

As you consider each new endeavor, think about how it will affect four types of freedom

Morgan Stanley duo managing $2 billion go indie with LPL
PRACTICE MANAGEMENT NOV 16, 2020
Morgan Stanley duo managing $2 billion go indie with LPL

John Gallagher and Mark Levin have opened an office in Marlton, New Jersey

Fidelity launches managed account platform
FINTECH NOV 16, 2020
Fidelity launches managed account platform

The new platform ties together eMoney financial planning and investment management that could position the custodian to rival TAMP offerings