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Morgan Stanley banker to retire after $850B in real estate deals
PRACTICE MANAGEMENT SEP 27, 2023
Morgan Stanley banker to retire after $850B in real estate deals

Guy Metcalf has been with the Wall Street firm for 33 years.

Balancing centralization and autonomy in a growing RIA  
OPINION SEP 26, 2023
Balancing centralization and autonomy in a growing RIA  

For many growing RIAs, the way to achieve scalability is to have a robust centralized support system in place,

Debt levels, economic concerns forcing Americans to make tough choices
PRACTICE MANAGEMENT SEP 25, 2023
Debt levels, economic concerns forcing Americans to make tough choices

A Thrivent survey finds 53% of respondents would take a job working harder and longer hours to make and save more over making less money, but having more free time to do what they love.

SEC fines Deutsche Bank subsidiary $19M for not keeping ESG promises
PRACTICE MANAGEMENT SEP 25, 2023
SEC fines Deutsche Bank subsidiary $19M for not keeping ESG promises

'The industry deserves to have the scrutiny that’s being placed on it,' says Ethan Powell, founder and CEO of Impact Shares.

LPL recruits $260 million group focusing on 403(b) plans
RETIREMENT PLANNING SEP 25, 2023
LPL recruits $260 million group focusing on 403(b) plans

The diverse practice in Albuquerque, New Mexico, is led by financial advisor Angelo Burns.

The money value of spending time with clients
OPINION SEP 25, 2023
The money value of spending time with clients

Advisors spend twice as much time on investment activities than anything else, which means they could be missing out on important opportunities.

Handcuffed by marketing inertia? 
FINTECH SEP 25, 2023
Handcuffed by marketing inertia? 

As the SEC marketing rule nears its first anniversary, most firms have yet to take advantage of the testimonials and endorsements it allows.

SEC exam sweep short but not sweet 
PRACTICE MANAGEMENT SEP 25, 2023
SEC exam sweep short but not sweet 

Instead of generating anxiety among advisors, sweep contains no hidden surprises, says compliance expert.

The puzzle posed by annuities
RETIREMENT PLANNING SEP 25, 2023
The puzzle posed by annuities

Perhaps the lack of demand among clients is a function of a lack of understanding of annuities among advisors.

XY Planning's smaller advisors envy larger firms’ marketing latitude
PRACTICE MANAGEMENT SEP 22, 2023
XY Planning's smaller advisors envy larger firms’ marketing latitude

'We see a lot of angst from advisors that are frustrated that the federal [SEC] firms get to' use client testimonials and reviews in advertising 'but they can’t do it in their state,' says XYPN co-founder Michael Kitces.

One portfolio please, hold the cows
ESG SEP 22, 2023
One portfolio please, hold the cows

Brenda Morris does what she can to minimize investments that exploit animals, while still providing diversified portfolios.

TIAA hires six new leaders for wealth management team
RETIREMENT PLANNING SEP 22, 2023
TIAA hires six new leaders for wealth management team

The executives, all of whom are joining from other firms, will complement TIAA's current staff 'to help clients prepare for retirement and reach their financial goals,' an executive says.

Wells Fargo names Tom Nides vice chairman
PRACTICE MANAGEMENT SEP 22, 2023
Wells Fargo names Tom Nides vice chairman

Nides, former U.S. ambassador to Israel, has moved back and forth between Washington and Wall Street for years, including two stints at Morgan Stanley.

Altruist eliminates software fees for RIAs
FINTECH SEP 21, 2023
Altruist eliminates software fees for RIAs

Advisors who custody exclusively with Altruist will receive free software, while firms that work other custodians will get the first 100 accounts for free.

Former Merrill star manager Oden jumps to  HSBC
PRACTICE MANAGEMENT SEP 21, 2023
Former Merrill star manager Oden jumps to HSBC

But big banks can fall flat when it comes to building a home for financial advisors.

Time to sell your advisor business? There's a program for that
PRACTICE MANAGEMENT SEP 21, 2023
Time to sell your advisor business? There's a program for that

LPL Financial's solution is for advisors looking to retire or end business ownership to focus on clients.

Carson Group's Jamie Hopkins joining Bryn Mawr Trust
RIAS SEP 19, 2023
Carson Group's Jamie Hopkins joining Bryn Mawr Trust

‘My personal mission is to enhance the financial security of Americans,’ says Hopkins, who will serve as the firm's director of private wealth management.

JPMorgan shares why advisors should serve needs of diverse investors
RETIREMENT PLANNING SEP 19, 2023
JPMorgan shares why advisors should serve needs of diverse investors

Black and Hispanic women are gaining confidence in their investing knowledge.

Envestnet partners with iconik for personalized proxy voting
EQUITIES SEP 18, 2023
Envestnet partners with iconik for personalized proxy voting

'Advisors in the Envestnet ecosystem will have access to set-and-forget voting technology,' says iconik's Alex Thaler.

Morningstar to cut 12% of Sustainalytics staff
PRACTICE MANAGEMENT SEP 18, 2023
Morningstar to cut 12% of Sustainalytics staff

More than 200 people expected to lose their jobs.