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.
Until last July, Guggenheim Securities prohibited employees from reaching out to officials at the SEC or other watchdogs without prior consent from the firm’s lawyers.
Green Bay–based advisor Andrew Farah said joining Mercer was a better way to grow his business than rebuilding it himself.
The Institute for the Fiduciary Standard released its alternate version of the disclosure document, arguing more was needed to draw the distinction between investment advisors and broker/dealers.
The COO Society costs less than Sonnen's retainer model, and aims to train RIAs on the operational and human resources aspects of running a firm.
Warren Buffett is one of the Gates Foundation’s three board members, alongside Bill Gates and Melinda French Gates, who announced last month they’re splitting after 27 years of marriage.
Aspyre Wealth Partners' Jamie Bosse details how she was able to craft her personal brand as the "Money Boss Mom" by balancing her responsibilities as a financial planner and that of an author.
