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.

Annuities Group Files Suit to Stop DOL Rule
A trade group for fixed annuity providers seeks an injunction against the DOL's fiduciary rule, alleging that it will cause irreparable harm to its members, which include insurance companies, independent marketing organizations and individual producers.
Lawsuit Argues DOL Overstepped With Fiduciary Rule
A new lawsuit challenging the Department of Labor’s fiduciary rule argues that the agency overstepped its boundaries, that the Securities and Exchange Commission should be the one to develop a uniform fiduciary standard of care and that the rule violates First Amendment rights.
Women to Get Help Through CFP Certification Process
The Certified Financial Planner Board of Standards hopes to remove one barrier for women entering the profession: a lack of mentors.
alternative investments
Are Alternative Funds Going Mainstream?
Advisors plan to up investments in alternatives, but high fees and lack of liquidity are still sticking points.
How Tom Gooley Rebuilt LPL's Call Center
The former Morgan Stanley operations chief restructured LPL's service center for advisors, upping its capacity and responsiveness by, in part, structuring service reps around topics, not teams.
SRI Is Getting Less Attention Than It Deserves
With more assets than ETFs and hedge funds combined, socially responsible investing is a more important trend than you may think, argues Tiburon’s Chip Roame. And the market is poised to grow.
Mega Deals of 2015 Inspire Large RIAs to Sell in Q1
Last year’s surge in mega deals may have influenced a recent spike in M&A activity among large RIAs with assets between $1 billion to $5 billion, according to a new report by DeVoe & Company.
RCAP Reorganization Plan for Cetera Is Approved
RCS Capital’s plan for Chapter 11 reorganization has been approved by a U.S. bankruptcy court for the district of Delaware.
Robert Moore
Former LPL Exec Robert Moore to Be Next Cetera Chairman
Former LPL Financial President Robert Moore will be named non-executive chairman of the board of Cetera’s parent company, which is nearly out of bankruptcy.
Q&A With Ashvin Chhabra: You’re Investing All Wrong
We define success in investment management as beating a benchmark. But if your clients don’t achieve their goals, it doesn’t matter whether you beat the benchmark, argues Ashvin Chhabra, President of Euclidean Capital.
CFA Membership Continues to Shift Toward Private Wealth
The CFA Institute’s membership is leaning more heavily towards private client advisors, and the group hopes to become the go-to advisors to high-net-worth investors.
Retirees Just Want to Have Fun
Annual leisure travel spending by retirees aged 65 and older is expected to surge by 47 percent over the next two decades, a new Merrill Lynch study found. But many retirees don’t know how they’re going to fund this leisure.
Stein Says Betterment IPO Likely... Eventually 1
As consolidations and acquisitions shrink the number of stand-alone robos, Betterment CEO Jon Stein says his plan is to go public when revenues hit $50 to $200 million.
Would David Rubenstein Hire You?
The six attributes the founder of the private equity giant Carlyle Group looks for in new hires, and why “brilliance” isn’t among them.
Will SRI Evolve Beyond a Niche Market?
Will socially responsible investing remain a niche or find broader appeal? Steve Lydenberg of Domini Funds argues the strategies will earn a mass following as they are based on macro themes of fundamental changes in the environment and society.
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