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Sustainable investing advocate US SIF names new policy director
PRACTICE MANAGEMENT APR 04, 2023
Sustainable investing advocate US SIF names new policy director

The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.

LPL snags $850 million Securian team in wake of Cetera deal
BROKER DEALERS APR 04, 2023
LPL snags $850 million Securian team in wake of Cetera deal

Toledo, Ohio-based Financial Design Group has 14 advisors. Over the winter, recruiters had cited LPL as one of the firms likely to target Securian advisors.

Sustainable fund advisor Mirova US gets new CEO
PRACTICE MANAGEMENT APR 03, 2023
Sustainable fund advisor Mirova US gets new CEO

Zineb Bennani has worked for parent firm Natixis since 2005.

Potential investor claims go through the roof at Berthel Fisher
ALTERNATIVES APR 03, 2023
Potential investor claims go through the roof at Berthel Fisher

Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.

Top 10 financial advice firms ranked by investor satisfaction in 2023
PRACTICE MANAGEMENT APR 03, 2023
Top 10 financial advice firms ranked by investor satisfaction in 2023

Investors’ happiness with their advisors took a hit last year as the stock market dived, according to J.D. Power’s annual survey.

A different kind of financial literacy
PRACTICE MANAGEMENT APR 03, 2023
A different kind of financial literacy

An advisor’s plain-language explanation of financial system intricacies can help allay fears, keep emotions under control and inform better decision-making.

Custody, compliance and tech lay the foundation for going independent
RIAS MAR 31, 2023
Custody, compliance and tech lay the foundation for going independent

An expansive network of platforms and services has evolved that's designed to support breakaway brokers.

Andy Sieg leaves Merrill to rejoin Citigroup
PRACTICE MANAGEMENT MAR 30, 2023
Andy Sieg leaves Merrill to rejoin Citigroup

He is being replaced at Merrill Lynch by Lindsay Hans and Eric Schimpf, who have been appointed presidents and co-heads of Merrill Wealth Management.

Please don't make me download your conference app
FINTECH MAR 30, 2023
Please don't make me download your conference app

It's doubtful many advisors are doing the same due diligence into who produces conference apps and what safeguards are in place that they do with other pieces of their tech stack.

Women gaining traction on investing results, intentions
PRACTICE MANAGEMENT MAR 30, 2023
Women gaining traction on investing results, intentions

Women achieve better results than men when they make direct investments.

T. Rowe Price buying Retiree Inc. to enhance retirement offerings
RETIREMENT PLANNING MAR 30, 2023
T. Rowe Price buying Retiree Inc. to enhance retirement offerings

The investment manager said Retiree’s software will bolster its existing capabilities to create a more comprehensive suite of retirement income solutions.

As RIA industry swells, advisors discover pros and cons of growth
RIAS MAR 30, 2023
As RIA industry swells, advisors discover pros and cons of growth

According to the latest report from Schwab Advisor Services, RIAs need to jump on the growth train in order to keep pace.

Cetera to advisors: Selling your practice requires our OK
BROKER DEALERS MAR 29, 2023
Cetera to advisors: Selling your practice requires our OK

If financial advisors don't seek the firm's approval, they risk running afoul of securities regulators, Cetera said.

Credit Suisse still helping Americans dodge taxes, Senate panel says
PRACTICE MANAGEMENT MAR 29, 2023
Credit Suisse still helping Americans dodge taxes, Senate panel says

The committee uncovered 'major violations' of the $2.6 billion plea deal Credit Suisse reached with the Justice Department in 2014, according to a report.

SEC faults new advisors for compliance shortcomings
PRACTICE MANAGEMENT MAR 28, 2023
SEC faults new advisors for compliance shortcomings

The agency's examinations found programs weren't tailored to business models and were inadequately funded.

First Republic sees more financial advisors walk
PRACTICE MANAGEMENT MAR 28, 2023
First Republic sees more financial advisors walk

The San Francisco-based Marchetti Porter Wealth Partners jumped ship over the weekend.

Envestnet adds three board members to avert proxy contest
PRACTICE MANAGEMENT MAR 28, 2023
Envestnet adds three board members to avert proxy contest

Lauren Taylor Wolfe, co-founder and managing partner of activist hedge fund Impactive Capital, has joined Envestnet’s board.

3 reasons advisory firms don't grow
OPINION MAR 28, 2023
3 reasons advisory firms don't grow

Some advisors are happy with the status quo, while others dislike the challenge of finding new clients.

Overcoming ‘policy differences’ takes work early in rulemaking process: SEC's Peirce
REGULATION AND LEGISLATION MAR 27, 2023
Overcoming ‘policy differences’ takes work early in rulemaking process: SEC's Peirce

The commissioner characterizes SEC Chair Gensler's agenda as seeking dramatic regulatory change over 'huge swaths of the market,' while his predecessor, Jay Clayton, was more incremental.

EBRI names former Mercer executive Barb Marder president and CEO
RETIREMENT PLANNING MAR 27, 2023
EBRI names former Mercer executive Barb Marder president and CEO

Marder succeeds Lori Lucas, who retired at the end of 2022 after joining EBRI as president and CEO.