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10 IBDs with the highest portion of female reps in 2022
BROKER DEALERS MAY 08, 2023
10 IBDs with the highest portion of female reps in 2022

Women are underrepresented in the advice industry, but at some independent broker-dealers, they make up a significant portion of the producing reps.

The Bud Light case for ESG
OPINION MAY 05, 2023
The Bud Light case for ESG

The 'anti-woke' crowd found a boogeyman in Anheuser-Busch just as it has with ESG broadly.

Envestnet shares struggle after Q1 revenue falls
FINTECH MAY 05, 2023
Envestnet shares struggle after Q1 revenue falls

Envestnet reported revenue of $298.71 million for the first quarter, down 7.1% from the same period last year.

AmeriFlex Group rolls out proprietary planning solution
RIAS MAY 05, 2023
AmeriFlex Group rolls out proprietary planning solution

AmeriFlex Premier+ will allow advisory firm clients to look at possible future outcomes that could result from their planning decisions.

Merrill to pay $1.4 million over telemarketing violations
PRACTICE MANAGEMENT MAY 04, 2023
Merrill to pay $1.4 million over telemarketing violations

The company, which self-reported the issue, signed separate consent orders with Finra and the New Hampshire Bureau of Securities Regulation.

10 IBDs with the highest average payouts in 2022
BROKER DEALERS MAY 04, 2023
10 IBDs with the highest average payouts in 2022

InvestmentNews Research identifies the independent broker-dealers whose reps took home the highest average payouts last year.

Driving Business Efficiency as You Grow
PRACTICE MANAGEMENT MAY 04, 2023
Driving Business Efficiency as You Grow

As your business grows, it changes. You bring new clients onboard; current clients’ needs shift; service requirements expand. In order to ensure your firm maintains the high quality client relationships its known for, you need to establish a nimble infrastructure that’s ready to meet growth opportunities with you. Use the following framework to get started.

Why the ESG backlash has little effect on corporations
OPINION MAY 03, 2023
Why the ESG backlash has little effect on corporations

Politicians' manufactured controversies are having minimal impact in boardrooms.

Goldman Sachs expands to Dallas, joining Wall Street's latest move west
PRACTICE MANAGEMENT MAY 03, 2023
Goldman Sachs expands to Dallas, joining Wall Street's latest move west

The number of finance and insurance jobs in Dallas has surged 33% in the past decade, more than double the national average.

When the going gets tough, the tough get EPIC
OPINION MAY 02, 2023
When the going gets tough, the tough get EPIC

Amid volatile markets, it's important that financial professionals provide clients with Empathy, Perspective, Insights and Choices.

Liz Nesvold joins Cresset as president
RIAS MAY 02, 2023
Liz Nesvold joins Cresset as president

Nesvold is exiting Raymond James to take on an expansive new role at Cresset's $30 billion platform.

Matt Sonnen joins Coldstream Wealth Management as chief operating officer
RIAS MAY 02, 2023
Matt Sonnen joins Coldstream Wealth Management as chief operating officer

Sonnen, founder of consulting firm PFI Advisors, will work on improving Coldstream's back-office operations.

Morgan Stanley planning to eliminate 3,000 employees in fresh round of job cuts
PRACTICE MANAGEMENT MAY 02, 2023
Morgan Stanley planning to eliminate 3,000 employees in fresh round of job cuts

The head count reductions, which are the bank’s second round within six months, will spare wealth management teams, including advisors.

Stifel to pay $3.2 million over former broker's 'predatory sales'
BROKER DEALERS MAY 01, 2023
Stifel to pay $3.2 million over former broker's 'predatory sales'

The firm allegedly failed to supervise Joseph Crespi, whose trading activity prompted 135 internal alerts over 12 months, according to the office of Massachusetts Secretary of the Commonwealth William Galvin.

Ermotti taps UBS veteran Naratil to lead integration of Credit Suisse
PRACTICE MANAGEMENT MAY 01, 2023
Ermotti taps UBS veteran Naratil to lead integration of Credit Suisse

Naratil will become the firm's chief financial officer and lead the division that will oversee the Credit Suisse merger, a Swiss newspaper reports.

Wirehouses feeling the chill of autumn in the air
BROKER DEALERS MAY 01, 2023
Wirehouses feeling the chill of autumn in the air

The giant firms face an approaching winter as they become less prominent in the overall advisory business.

Envestnet introduces product updates, new partnerships at annual conference
RETIREMENT PLANNING APR 28, 2023
Envestnet introduces product updates, new partnerships at annual conference

Improving the digital experience for advisors and clients was a significant theme; Envestnet also announced a partnership with Empower to give advisors easy access to retirement plans.

Envestnet CEO on the company’s recent challenges and the opportunities ahead
RETIREMENT PLANNING APR 27, 2023
Envestnet CEO on the company’s recent challenges and the opportunities ahead

Although its efforts to meld its businesses met with some opposition, the company's revamped platform will provide great returns for users and investors, Bill Crager says.

The superiority of the fee-based compensation model
OPINION APR 26, 2023
The superiority of the fee-based compensation model

The preeminent conflict of the commission-based model is that it forces you to put the pursuit of new clients ahead of serving your existing ones.

BlackRock's Dalia Blass leaves for law firm Sullivan & Cromwell
PRACTICE MANAGEMENT APR 26, 2023
BlackRock's Dalia Blass leaves for law firm Sullivan & Cromwell

Blass, the former head of the SEC's division of investment management, led external affairs at BlackRock for two years.