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Carson Group parts ways with its first chief technology officer
RIAS JUN 29, 2023
Carson Group parts ways with its first chief technology officer

Nimesh Patel was named to the firm's newly created CTO position in February 2022.

Morgan Stanley gets serious about a new CEO
PRACTICE MANAGEMENT JUN 29, 2023
Morgan Stanley gets serious about a new CEO

Wealth management boss on shortlist of three to replace outgoing Aussie.

MaxMyInterest partners with eMoney to give planners access to high-yield cash accounts
FINTECH JUN 28, 2023
MaxMyInterest partners with eMoney to give planners access to high-yield cash accounts

MaxMyInterest's services will be available to more than 100,000 advisors using eMoney.

NAPFA OKs membership for advisors with trailing commissions 
LIFE INSURANCE AND ANNUITIES JUN 28, 2023
NAPFA OKs membership for advisors with trailing commissions 

If advisors receive $2,500 or less in commissions and donate the proceeds to charity, they can join the fee-only organization.

UBS plans to cut over half of Credit Suisse employees
PRACTICE MANAGEMENT JUN 27, 2023
UBS plans to cut over half of Credit Suisse employees

Banks, traders and support staff in Credit Suisse's investment bank in London, New York and some parts of Asia are expected to bear the brunt of the cuts.

How to normalize allyship
PRACTICE MANAGEMENT JUN 27, 2023
How to normalize allyship

Here's how men can step up and into allyship. It's not that hard.

Procyon Partners adds two advisors managing $600 million
RIAS JUN 27, 2023
Procyon Partners adds two advisors managing $600 million

Frank McKiernan and Jerry Sneed are joining Procyon, a Dynasty Financial network firm, from Baker Tilly Wealth Management.

Not enough rookie advisors to go around, Cerulli says
RIAS JUN 26, 2023
Not enough rookie advisors to go around, Cerulli says

Financial advisor head count grew by just 2,579 advisors in 2022, while the failure rate among rookie advisors was more than 72%, according to a Cerulli study.

Edward Jones quartet in Wisconsin jumps to LPL
BROKER DEALERS JUN 26, 2023
Edward Jones quartet in Wisconsin jumps to LPL

The four advisors control $400 million in client assets and their Elkhorn-based firm is called Omnia Wealth Group.

Memo to young advisors: Know the cost of a client
PRACTICE MANAGEMENT JUN 23, 2023
Memo to young advisors: Know the cost of a client

The opportunities for younger financial advisors to increase the value of their practices couldn't be better.

10 banks that retail customers rank highest for financial advice
PRACTICE MANAGEMENT JUN 23, 2023
10 banks that retail customers rank highest for financial advice

Consumers dealing with inflation and market volatility would appreciate guidance from their bank, but few say they’re getting that, according to a new study from J.D. Power.

Bank of America earns highest marks for retail bank financial advice: J.D. Power
PRACTICE MANAGEMENT JUN 22, 2023
Bank of America earns highest marks for retail bank financial advice: J.D. Power

However, most retail banks are falling short of customers' expectations when it comes to the advice and guidance they get from their banks.

SEC fines JPMorgan $4 million for deleting electronic communications
FINTECH JUN 22, 2023
SEC fines JPMorgan $4 million for deleting electronic communications

A vendor improperly destroyed 47 million electronic communications, including emails and instant messages, from 8,700 inboxes.

SEC bars RIA chief compliance officer previously found guilty of fraud
RIAS JUN 22, 2023
SEC bars RIA chief compliance officer previously found guilty of fraud

Jennifer Campbell was office manager and chief compliance officer for a registered investment advisor in Buffalo, New York.

Charging clients fees based on planning rather than AUM works ‘beautifully’ for advisor
PRACTICE MANAGEMENT JUN 21, 2023
Charging clients fees based on planning rather than AUM works ‘beautifully’ for advisor

Although AUM fees still dominate, other models — such as planning, subscription, monthly and hourly fees — are gaining traction, according to IN's goRIA panelists.

Execs call for mandatory reporting of employee well-being metrics
RIAS JUN 21, 2023
Execs call for mandatory reporting of employee well-being metrics

Some 85% of C-suite executives believe that organizations should require mandatory reporting of well-being metrics, according to a study.

Alternativ raises $10 million as digitally native RIAs pick up steam
RIAS JUN 21, 2023
Alternativ raises $10 million as digitally native RIAs pick up steam

The funding will be used to continue developing the firm's technology and to grow its RIA, Alternativ Wealth, through acquisitions.

How retirees and pre-retirees can benefit from high interest-rate environment 
OPINION JUN 21, 2023
How retirees and pre-retirees can benefit from high interest-rate environment 

Clients can explore savings strategies and financial products with higher risk-free returns and alternative fixed-income investments.

Forget Advisor Group. It's now Osaic
BROKER DEALERS JUN 21, 2023
Forget Advisor Group. It's now Osaic

While the giant network of 11,000 brokers and advisors has announced its new name, the process of rolling its eight firms into one will take up to two years.

AI: It’s more personal than you think
OPINION JUN 21, 2023
AI: It’s more personal than you think

Artificial intelligence stands to positively impact advisory firms' relationships with their clients by fostering more personalized experiences.