Diana Britton

Managing Editor

Diana Britton is the Managing Editor of WealthManagement.com, covering asset management and independent broker/dealers from all angles. A native of Los Angeles, she now lives in Queens, N.Y.

EF Hutton
EF Hutton Launching Self-Directed Investment Platform
In the latest comeback attempt for the storied brand, the owners of EF Hutton launched a new website Wednesday that provides “automated financial services for clients 24/7 and with customized services.” Sounds like a robo?
Securities America Scoops Up Another Small IBD
New York–based Wall Street Financial Group, which will join Securities America as a super office of supervisory jurisdiction, adds 67 advisors, $2.1 billion in client assets and approximately $11 million in revenue.
 Roubini ThoughtLab
The Wealth Advisor of the Future
A new study led by Dr. Nouriel Roubini says the advisor of the future will look more like a “general practitioner” who calls on specialists when needed.
Fintech Startup Brings Fiduciary Outsourcing to Advisors
Vestwell has launched a new white-labeled retirement platform for advisors to 401(k) plans.
Pershing CEO Mark Tibergien
The Future of Succession? A Growth Strategy, Not an Exit
You owe it to your clients to create a sustainable business, especially as you transition out, says Pershing CEO Mark Tibergien.
FPA Baltimore
The Critical Error This Industry Is Making
Advisors are spending too much time managing money and not enough time doing financial planning. But planning is the key to growth going forward, says a panel at FPA’s conference in Baltimore.
FPA, TrueProfile Create New Risk-Profiling Tool 1
The Financial Planning Association is partnering with TrueProfile to co-create a client profiling system that will use game theory.
fingers crossed
RIAs Are Not Without Conflicts
Conflicts of interest are on the rise among RIA firms, which hold themselves out to be independent entities offering objective fiduciary advice.
Former ARCP CFO Denies Federal Fraud Charges
After a nearly two-year investigation, three regulators have brought charges against former American Realty Capital Partners executives for falsely inflating the REIT company's performance.
business continuity
Industry Groups to SEC: Business Continuity Failures Are Not Fraud
Continuity plans are more operational in nature, but a new SEC proposal could wrongly characterize planning deficiencies as fraud, industry groups argue.
Morningstar’s Joe Mansueto to Step Down as CEO
Morningstar founder Joe Mansueto will stay on as executive chairman of the company; president Kunal Kapoor will succeed him.
Raymond James
With Acquisition Closed, Alex. Brown Turns to Recruiting
With the firm’s integration behind them, the new Raymond James unit will now focus on aggressively recruiting advisors in the high net worth and ultra high net worth space.
Larry Roth Robert Moore Cetera
Cetera Confirms: Robert Moore In, Larry Roth Out as CEO
Amid media speculation about changes to the brokerage’s leadership structure, Cetera has confirmed that chairman Robert Moore will take over as CEO, replacing Larry Roth.
Securities America
Silicon Valley IBD Sells to Securities America
Foothill Securities says increased compliance burdens related to the Department of Labor’s fiduciary rule cemented its decision to search for a buyer.
money puzzle
The Need for More Retirement Planning Support 1
Help with minimizing retirement taxes, Social Security planning, retirement planning and investing tools and decumulation strategies are the most useful types of assistance from fund groups.
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