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InvestmentNews honors Stifel's Alex David at sixth annual DEI Summit
PRACTICE MANAGEMENT MAY 10, 2023
InvestmentNews honors Stifel's Alex David at sixth annual DEI Summit

Six firms and 15 individuals were recognized for their contributions at the event in New York City Wednesday.

InvestCloud took a shot at Envestnet and missed
FINTECH MAY 10, 2023
InvestCloud took a shot at Envestnet and missed

The company, which made a significant investment to challenge Envestnet's supremacy among TAMPs, underwent a sudden shakeup in leadership last month.

S&P expands focus on biodiversity risk data
FINTECH MAY 10, 2023
S&P expands focus on biodiversity risk data

New data on 17,000 companies is available using a methodology developed in conjunction with the UN Environment Programme.

LPL adds long-time Advisor Group advisor with $220 million
BROKER DEALERS MAY 10, 2023
LPL adds long-time Advisor Group advisor with $220 million

Michelle Brennan Hall had been registered at FSC Securities since 1989.

Wells Fargo team with $1 billion jumps to RIA
RIAS MAY 10, 2023
Wells Fargo team with $1 billion jumps to RIA

The Compass Group advisors are joining DayMark Wealth Partners, a Cincinnati, Ohio-based RIA with $907 million in assets.

Creating an equity ownership track: Look before you leap
OPINION MAY 10, 2023
Creating an equity ownership track: Look before you leap

While the economics have to work for the owners and partners of the firm, they have to make sense for the next-gen advisors, too.

Tax expertise opens the door to wealth advisory careers
OPINION MAY 10, 2023
Tax expertise opens the door to wealth advisory careers

Accounting firms are expanding rapidly into wealth management. But can tax and audit experts transition to financial advisory careers?

Unflinching guidance is your ultimate fiduciary duty
OPINION MAY 10, 2023
Unflinching guidance is your ultimate fiduciary duty

The longer the bear market continues, the more likely your clients will be to abandon their financial plans, sell their growth assets, and potentially impair their financial futures.

Advisor Group B-D snares RBC advisors with $250 million in client assets
BROKER DEALERS MAY 09, 2023
Advisor Group B-D snares RBC advisors with $250 million in client assets

Minnesota-based Tom Delich had worked at RBC for almost 23 years; he and his team are joining Financial Dimensions Group, a unit of Royal Alliance Associates.

Riskalyze rebrands as Nitrogen
FINTECH MAY 09, 2023
Riskalyze rebrands as Nitrogen

The company's new name reflects its evolution from measuring client risk tolerance toward offering a broader suite of wealth management fintech.

Goldman to pay $215 million to settle case on underpaying women
REGULATION AND LEGISLATION MAY 09, 2023
Goldman to pay $215 million to settle case on underpaying women

The trial, which had been scheduled for next month in New York, would have provided a rare public forum for testimony about inequality inside the financial industry.

Audits on the rise amid a resurgent IRS
RETIREMENT PLANNING MAY 09, 2023
Audits on the rise amid a resurgent IRS

If the IRS thinks a taxpayer owes money, its efforts to collect could include levying bank accounts, placing liens on their home, garnishing their salary, and even refusing to issue a passport.

Psychological factors keep advisors from growing assets: Study
PRACTICE MANAGEMENT MAY 09, 2023
Psychological factors keep advisors from growing assets: Study

A notable 43% of financial advisors worry about being perceived as 'pushy' when they're trying to grow their businesses.

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.