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First-generation women crave personal investment to spark vision 
OPINION NOV 21, 2022
First-generation women crave personal investment to spark vision 

It is imperative that we not let women miss out on a profession that can provide purpose, financial stability and a path towards a balanced life.

Introducing the 2022 Women to Watch
WOMEN ADVISOR COMMUNITY NOV 21, 2022
Introducing the 2022 Women to Watch

This is what success looks like: 23 women financial advisers and industry executives who are advancing the financial advice profession on their own terms and 15 employers that have set a higher standard for women in their workforces and for women clients.

Financial advice is the midlife job that women want – but don’t know exists
PRACTICE MANAGEMENT NOV 21, 2022
Financial advice is the midlife job that women want – but don’t know exists

In the past two years, American women have had a collective epiphany: They want to trade in their current careers for something different and better.

Midcareer women benefit from the rise of the returnship
PRACTICE MANAGEMENT NOV 21, 2022
Midcareer women benefit from the rise of the returnship

A little effort delivers big results when firms build on-ramps for women who want to re-enter the workforce.

How Advisory Firms Can Maintain Momentum in an Uncertain Environment
PRACTICE MANAGEMENT NOV 21, 2022
How Advisory Firms Can Maintain Momentum in an Uncertain Environment

Practices reported significant gains during 2021. But as markets become more volatile, they’ll need to adapt in order to keep growing. Learn where they should focus their efforts—and capital.

Envestnet closes $575 million debt offering
FINTECH NOV 18, 2022
Envestnet closes $575 million debt offering

The unsecured convertible notes have a 2.625% annual interest rate and will mature on Dec. 1, 2027.

Betterment raises fees on small investors
FINTECH NOV 18, 2022
Betterment raises fees on small investors

Customers with less than $20,000 on Betterment will now be charged a $4 monthly subscription rather than a 0.25% AUM fee.

JPMorgan to give all new parents 16 weeks of leave
PRACTICE MANAGEMENT NOV 18, 2022
JPMorgan to give all new parents 16 weeks of leave

The firm will also increase employees' sick days and bereavement leave, according to an internal memo.

Morgan Stanley's richest clients being offered Tiger Global venture fund
ALTERNATIVES NOV 17, 2022
Morgan Stanley's richest clients being offered Tiger Global venture fund

The investment firm has tapped Morgan Stanley's wealth management arm as it seeks to raise $6 billion for its next venture fund.

Colorado revisions to financial planning guide don't quiet a critic
PRACTICE MANAGEMENT NOV 17, 2022
Colorado revisions to financial planning guide don't quiet a critic

The state is concerned that fee-for-service financial planners aren't aligning their charges with work done for clients. Michael Kitces said the guidance remains biased toward the AUM model.

Strategies for continuing to diversify the wealth management industry
PRACTICE MANAGEMENT NOV 17, 2022
Strategies for continuing to diversify the wealth management industry

Panelists at the Women Adviser Summit in New York City say firms need to rethink how they look for new talent if they're serious about increasing diversity in the industry.

Ritholtz Wealth Management hires its first company president
RIAS NOV 17, 2022
Ritholtz Wealth Management hires its first company president

Jay Tini joins Ritholtz from Vanguard, where he was divisional sales manager, for his first job at an RIA.

Study points out barriers to success of women advisers
PRACTICE MANAGEMENT NOV 17, 2022
Study points out barriers to success of women advisers

Nearly three-quarters of respondents to a Carson Group survey note that women must juggle professional responsibilities with caregiving obligations.

Webber, Franklin win top Women to Watch awards
WOMEN ADVISOR COMMUNITY NOV 16, 2022
Webber, Franklin win top Women to Watch awards

Amy Webber, CEO of Cambridge Investment Research Inc., won the Alexandra Armstrong Lifetime Achievement Award, while Mary Beth Franklin took home the Trailblazer Award.

The latest in financial #AdviserTech — November 2022
FINTECH NOV 16, 2022
The latest in financial #AdviserTech — November 2022

This month's highlights include the launch of a new RIA custodian, Entrustody, along with Orion's announcement of Redtail Campaigns and Riskalyze's plan to rebrand itself.

SEC officials tell advisers to put clients’ interests first, tell truth in ads
PRACTICE MANAGEMENT NOV 15, 2022
SEC officials tell advisers to put clients’ interests first, tell truth in ads

A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.

Activist investor challenges Envestnet's poor stock performance
RIAS NOV 15, 2022
Activist investor challenges Envestnet's poor stock performance

Hedge fund Impactive Capital is threatening a proxy fight in an effort to secure a seat on Envestnet's board.

S&P to pay $2.5 million to settle SEC conflict-of-interest charges
PRACTICE MANAGEMENT NOV 15, 2022
S&P to pay $2.5 million to settle SEC conflict-of-interest charges

The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.

Merrill nabs $1 billion team from Citi
PRACTICE MANAGEMENT NOV 15, 2022
Merrill nabs $1 billion team from Citi

A team of four advisers in suburban New York is making the switch.

Bad tech costs advisers money and clients
FINTECH NOV 15, 2022
Bad tech costs advisers money and clients

Though 58% of the advisers and executives surveyed classified their technology as 'modern,' 65% reported losing business because of outdated software.