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Latest crop of diversity programs hope to create wider, more welcoming points of entry
LIFE INSURANCE AND ANNUITIES JUL 29, 2022
Latest crop of diversity programs hope to create wider, more welcoming points of entry

Goals include dismantling barriers and creating new ways to reach and invite women and minorities.

National Securities shuts down after 75 years, reps rolled into B. Riley
BROKER DEALERS JUL 29, 2022
National Securities shuts down after 75 years, reps rolled into B. Riley

B. Riley Financial had purchased a large stake in National Securities Corp.'s parent in 2018 and bought the remaining shares last year.

Ken Van Leeuwen works with clients in two underserved niche areas
RIAS JUL 29, 2022
Ken Van Leeuwen works with clients in two underserved niche areas

The adviser targets younger corporate executives and parents whose children have special needs.

Secrets to success for RIAs
RIAS JUL 29, 2022
Secrets to success for RIAs

Schwab’s annual benchmarking study shows top-performing firms are more likely to use such tools as marketing plans and ideal client profiles.

Raymond James hanging onto RIA assets of shifting advisers: Reilly
RIAS JUL 28, 2022
Raymond James hanging onto RIA assets of shifting advisers: Reilly

Raymond James said that its head count of private client group financial advisers was 8,616 at the end of June, an increase of 203 compared to a year earlier.

SEC fines J.P. Morgan, UBS, TradeStation total of $2.5 million for lax ID theft prevention
FINTECH JUL 27, 2022
SEC fines J.P. Morgan, UBS, TradeStation total of $2.5 million for lax ID theft prevention

Each of the firms failed to comply with the agency's rule on identify theft red flags.

SEI launches practice management hub
FINTECH JUL 27, 2022
SEI launches practice management hub

The asset manager's new resource, Growth Lab, will provide tools to help independent financial advisers with growing their practices and lead generation.

Hightower names Robert Picard to head alternatives
ALTERNATIVES JUL 27, 2022
Hightower names Robert Picard to head alternatives

Former First Republic executive built alternatives platforms at Carlyle Group, RBC.

Market downturn shines new light on pros and cons of stock options
RIAS JUL 27, 2022
Market downturn shines new light on pros and cons of stock options

In the wake of the 12-year bull market, some financial planners and clients are getting their first look at the flip side of equity compensation.

Ameriprise reports robust hiring of advisers despite market turbulence
PRACTICE MANAGEMENT JUL 27, 2022
Ameriprise reports robust hiring of advisers despite market turbulence

The total head count of financial advisers at Ameriprise increased 2% in the second quarter compared to June 2021, reaching 10,245.

5 wealth management trends to pay close attention to
OPINION JUL 26, 2022
5 wealth management trends to pay close attention to

If you’re hoping to capitalize on new opportunities and remain ahead of the curve, it’s crucial to stay on top of current industry trends.

Riskalyze expands leadership team to push for larger clients
FINTECH JUL 26, 2022
Riskalyze expands leadership team to push for larger clients

The company named Josh Gray as its new chief technology officer, promoted former senior vice president of marketing Justin Boatman to chief product officer and hired Craig Clark as first chief marketing officer.

Advisor Group launches employee wellness program
BROKER DEALERS JUL 26, 2022
Advisor Group launches employee wellness program

As part of the program, confidential mental health support will be provided to employees of the company’s six independent broker-dealers.

Drawn to specialize in serving innovators and entrepreneurs
RIAS JUL 25, 2022
Drawn to specialize in serving innovators and entrepreneurs

Flavia Trento says an 'accident in geography' opened her eyes to the opportunities in the innovation economy.

BPAS updates financial planning tool for participants
RETIREMENT PLANNING JUL 25, 2022
BPAS updates financial planning tool for participants

Roadways Mile Marker 2.0 adds real-time updates and projections to present a bigger picture of each participant's overall financial health.

70% of advisers describe themselves as successful
WOMEN ADVISOR COMMUNITY JUL 25, 2022
70% of advisers describe themselves as successful

American College survey finds trust, individual effort and specialized knowledge as the three most important influences on achieving success.

Carson Group snags another exec from LPL
RIAS JUL 25, 2022
Carson Group snags another exec from LPL

Former LPL exec Burt White recruits Ryan Detrick for Carson Group's newly created role of chief market strategist.

The message is compliance
FINTECH JUL 25, 2022
The message is compliance

The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.

Can your DC plan take a punch?
RETIREMENT PLANNING JUL 25, 2022
Can your DC plan take a punch?

Record inflation and 401(k) statement shock could send some retirement plans down for the count.

The best robo-advisers of 2022 so far
FINTECH JUL 24, 2022
The best robo-advisers of 2022 so far

Condor Capital grades the best robo-advisers across 45 metrics, including financial planning, access to human advisers and cost.