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Reporting technology for RIAs
OPINION JUN 04, 2020
Reporting technology for RIAs

As breakaways build their tech stack, the reporting provider serves as a 'hub' through which data flows to the firm's back-office infrastructure

Fund manager indicted over $68 million fraud scheme
PRACTICE MANAGEMENT JUN 03, 2020
Fund manager indicted over $68 million fraud scheme

Brenda Smith of Philadelphia diverted tens of millions of dollars from Broad Reach Capital, according to the charges

Raymond James sues Ohio National for $10 million in VA commission fight
LIFE INSURANCE AND ANNUITIES JUN 03, 2020
Raymond James sues Ohio National for $10 million in VA commission fight

Raymond James is the latest broker to join the tussle over compensation on the insurer's variable annuities

Nationwide protests over race highlight hurdles faced by nonwhite advisers
PRACTICE MANAGEMENT JUN 03, 2020
Nationwide protests over race highlight hurdles faced by nonwhite advisers

As racial injustice fires up protesters and looters, financial advisers face the fallout with clients whose small businesses experience economic loss

Goldman names new wealth management head for N.Y. region
PRACTICE MANAGEMENT JUN 03, 2020
Goldman names new wealth management head for N.Y. region

Nicole Pullen Ross, who most recently headed the firm's Mid-Atlantic region, becomes one of its highest-profile black female executives

5 challenges facing successful independents
OPINION JUN 02, 2020
5 challenges facing successful independents

When they begin thinking about their endgame, the largest firms may not be able to find a buyer within their own broker-dealer network

$400 million hybrid joins LPL from Securities America
BROKER DEALERS JUN 02, 2020
$400 million hybrid joins LPL from Securities America

Missouri-based Niklas Financial will align with JFC Financial Services, which moved to LPL from Securities America last month

Ending racism in America is a responsibility of corporations
OPINION JUN 02, 2020
Ending racism in America is a responsibility of corporations

More open and forceful action is required by investors and by corporate leaders and boards

$600 million Minnesota hybrid switches B-D to LaSalle St.
BROKER DEALERS JUN 02, 2020
$600 million Minnesota hybrid switches B-D to LaSalle St.

Stiles Financial, exiting Cambridge Investment Research, retains own RIA

Former FPA president criticizes board over Schadle’s departure
RIAS JUN 01, 2020
Former FPA president criticizes board over Schadle’s departure

"If they’re firing her, they better fire themselves," Paul Auslander said

Voya Financial sees $600 million AUM group jump to Cambridge
BROKER DEALERS JUN 01, 2020
Voya Financial sees $600 million AUM group jump to Cambridge

Vision Financial Group moved to Cambridge the first week of May

See It, Be It Role Models
PRACTICE MANAGEMENT JUN 01, 2020
See It, Be It Role Models

These Excellence in Diversity & Inclusion award winners are individuals in the advice business who exemplify success and inspire others from diverse backgrounds to embrace the profession

Help clients overcome these 3 common emotional biases
OPINION JUN 01, 2020
Help clients overcome these 3 common emotional biases

Amid market volatility, it's important to remind them to keep their long-term goals in focus when making short-term decisions

$230 million team joins Commonwealth from Securities America
BROKER DEALERS JUN 01, 2020
$230 million team joins Commonwealth from Securities America

Buckley Financial Planning, a father-and-son duo, operates from two Ohio locations

Schadle steps down as FPA CEO
RIAS MAY 29, 2020
Schadle steps down as FPA CEO

Before becoming chief executive, Schadle served various leadership roles at the association for more than 20 years

Goldman Sachs delays robo-adviser launch until 2021
FINTECH MAY 28, 2020
Goldman Sachs delays robo-adviser launch until 2021

The investment bank originally announced a digital wealth offering last year, which it hoped would attract mass-affluent investors

The lockdown has been good for automated advice
FINTECH MAY 28, 2020
The lockdown has been good for automated advice

Technology has played a vital role during the pandemic and will become instrumental for the advice industry moving forward

BlackRock to mix target-dates and annuities
RETIREMENT PLANNING MAY 27, 2020
BlackRock to mix target-dates and annuities

The product is designed to be fully liquid and includes contracts from two insurers

Two firms post boffo adviser gains in first quarter
RIAS MAY 27, 2020
Two firms post boffo adviser gains in first quarter

Acquisitions pay off for Rockefeller and Allworth

Marital lockdown: Divorce, finances and COVID-19
OPINION MAY 27, 2020
Marital lockdown: Divorce, finances and COVID-19

Proper financial planning is vital during divorce