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Kate Healy named to head CFP Board's Center for Financial Planning
PRACTICE MANAGEMENT AUG 03, 2022
Kate Healy named to head CFP Board's Center for Financial Planning

The former TD Ameritrade executive led the company’s Generation Next diversity program.

Wells Fargo resumes using its diverse candidate guidelines
PRACTICE MANAGEMENT AUG 02, 2022
Wells Fargo resumes using its diverse candidate guidelines

The banking giant completes 6-week review of procedures after ‘fake interviews’ fracas.

Finra proposes 3-year pilot program for remote office inspections
PRACTICE MANAGEMENT AUG 02, 2022
Finra proposes 3-year pilot program for remote office inspections

The initiative effectively extends the online supervision of branch and non-branch operations that Finra allowed during the pandemic.

iCapital expands menu of alternative investments with Simon acquisition
ALTERNATIVES AUG 02, 2022
iCapital expands menu of alternative investments with Simon acquisition

The addition of Simon brings the total number of asset managers and product manufacturers on the iCapital platform to nearly 300, according to the company.

J.P. Morgan hires trio of private bankers in Chicago
PRACTICE MANAGEMENT AUG 02, 2022
J.P. Morgan hires trio of private bankers in Chicago

The team is joining from Citigroup, where its members had managed more than $2 billion in client assets.

Citigroup plans to hire 500 people for new wealth unit
PRACTICE MANAGEMENT AUG 02, 2022
Citigroup plans to hire 500 people for new wealth unit

The division caters to junior employees at private equity offices, consultancies and accounting firms, betting those clients will someday join the ranks of the ultra-wealthy.

Policymakers should tailor regulations for small businesses
OPINION AUG 02, 2022
Policymakers should tailor regulations for small businesses

The SEC's proposed cybersecurity rule is an example of a one-size-fits-all regulation that would significantly affect smaller firms.

Using the Great Resignation to drive gender diversity in the industry
OPINION AUG 01, 2022
Using the Great Resignation to drive gender diversity in the industry

There's a growing pool of women seeking second careers who come from sectors including education and nursing, professions that create skills perfectly suited for wealth management.

Courting clients with cigars and whiskey
RIAS AUG 01, 2022
Courting clients with cigars and whiskey

Rather than free chicken dinners, Ameriprise's Eric Reinhold prefers the slow burn of bonding with clients over a fine cigar and top-shelf spirits.

Buffalo Bills owner backs startup targeting independent advisory firms
PRACTICE MANAGEMENT AUG 01, 2022
Buffalo Bills owner backs startup targeting independent advisory firms

Atlanta-based Bison Wealth provides back-office support for advisory firms in exchange for a share of their revenues.

Fintech Bytes: FutureProof, Tifin, Docupace and Envestnet
FINTECH JUL 29, 2022
Fintech Bytes: FutureProof, Tifin, Docupace and Envestnet

Here's the rest of the week’s news from the adviser fintech companies that aren’t on vacation.

SEC slaps Aegis Capital with $2.3 million penalty
PRACTICE MANAGEMENT JUL 29, 2022
SEC slaps Aegis Capital with $2.3 million penalty

The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.

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.