See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Some 10% now have a stake in the fast-growing RIA. 'We anticipate that the percentage that’s owned by employees should increase every year from now and ongoing,' Mallouk said.
The plan includes an extension of jobless benefits, another round of direct household payments, money for state and local governments and an expansion of vaccinations and virus-testing programs.
Peter Driscoll, the SEC's Division of Examinations director, said some firms had not responded to the commission even after multiple attempts to reach them.
It’s advisable to keep a pragmatic and open mind to help avoid suppositions—particularly around valuation—that may impair your ability to effectively prepare for and execute an eventual sale.
Commonwealth's new SVP is charged with remodeling platform access to products and services for advisors around advanced planning, annuities, investments and retirement planning.
After some doubt, the SEC's final rule allowing client testimonials will go into effect May 4. "I’m sure there’ll be people who want to press it and hit the gas pedal."
The new head of marketing has taken over the responsibilities of former boss Abby Salameh, with plans to bring the growing marketing and advisor engagement teams closer together.
It is the latest in a string of initiatives from the commission focused on climate risk, and some commissioners argued it would be 'prudent' to wait for the results of other ESG-related reviews.
