Industry

The free, virtual conference is scheduled for December and is open to Northwestern Mutual and outside attendees.

Co-founder Michael Kitces said the XY Planning Network was hiring Duane Thompson to help advocate for fiduciary standards on the state level after an appellate court ruled against its suit concerning Regulation Best Interest.

The SEC's guidance comes weeks after news reports indicating that many firms were failing to properly disclose prior issues and stresses that firms cannot omit the disciplinary section, regardless of the answer they give.

Reynaldo Figueredo made the move to the division of Raymond James based on its client-centric culture and boutique feeling, and is the sixth advisor to join the division's Miami office this year.

The proposed rule would enable individuals to solicit accredited investors on behalf of issuers. Supporters say it can help small businesses raise capital. Critics worry it will lead unprepared investors into less transparent markets.

Just days after completing the purchase of E-Trade Financial Corp., Morgan Stanley's latest acquisition will bulk up the firm’s asset-management arm.

Jeff Dekko's Wealth Enhancement Group said Thursday that it has acquired its second New York RIA in a month, 10-15 Associates, with $933 Million in AUM.

When advisors were asked to keep physical distance from clients and colleagues, they turned to social media more than ever before.

GreenState Wealth Management will partner with LPL's Institution Services platform and align with Financial Resources Group Investment Services.

Advisors and ESG: Not a Natural Fit