See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Gitterman Wealth Management co-founder Jeffrey Gitterman on how his firm focuses on sustainable investing, making sense of ESG data and where he sees opportunities for advisors to grow.
Independent broker/dealers are expanding their affiliation models, with many following advisors into the fee-only RIA space—does it signal the end of the IBD as we know it?
The commission argued Crown Capital Securities recommended higher-fee funds to clients without disclosure and failed to self-report these conflicts to the SEC.
Principal will continue selling variable annuities and invest in growth areas such as global asset management and retirement businesses in the U.S. and select emerging markets.
Murphy, former CIO at Goldman Sachs Personal Financial Management, will be Kestra’s first chief investment officer and will build a team to bring research, investment strategies to its 2,400 financial advisors.
The firm is the latest charged with failing to oversee reps who recommended early rollovers of unit investment trusts (UITs) that left clients saddled with higher sales charges.
Brian M. Woods Financial Services, which oversees 30 advisors and $1.6 billion in assets, decided to jump ship to LPL Financial, after the firm's b/d, Voya, was acquired by Cetera.
