The purchase will help the discount brokerage develop thematic and direct indexing for clients
Passive management and cash took a back seat to actively managed stock and bond strategies
These independent broker-dealers have the highest percentages of female producing reps
Far too often, advisers think that communicating means they need to do the talking; instead, they need to do the listening
Helping them understand when their choices will affect their long-term plans is the surest way to help them reach their goals
The eight-week program promises to connect financial planning interns with mentors from across the country
The digital wealth management platform had been up for sale since January
Some firms said they will never go back to the way things were before the pandemic
Interactive software helps advisers initiate planning discussions with clients
As advisory firms become more comfortable with using digital tools, new tech could make some jobs obsolete
The move by Winston Wealth, a hybrid managing $300 million, follows a similar shift last week by JFC Financial
The stress involved in working with clients in the current environment is considerable, and firm culture and support are key factors
Michael Mountjoy was also suspended for six months by the regulator
Kristen Lucas is sending hand-drawn cards from her daughter to Luma Wealth clients who are living alone in quarantine
Western International will pay $325,000 and have its compliance methods reviewed
Nyle Bayer of Helios Quantitative is organizing kids ages 5 to 15 to play ball as soon as Sacramento's fields are open
Shirl Penney of Dynasty Financial Partners recommends advice firms adjust their businesses to be ready for organic and inorganic growth
Next-gen advisers need to consider how they'll differentiate themselves and attract clients if digital interactions with clients become more common
The tool is designed for family offices and RIAs looking for more liquidity in assets that are typically hard to buy and sell
Begin with a mindset that’s open to opportunity
