CFP Board Tightens Enforcement Ahead of Code of Ethics Implementation Date

Jun 25, 2020

As the result of background checks of all 87,000 CFPs, the group is now investigating 1,240 of them for possible misconduct.

Wells Fargo FiNet Adds $3.2 Billion in Recruited Assets Since March

Jun 25, 2020

The president of Wells Fargo’s independent unit, Kent Christian, details the firm's recruiting amid the pandemic.

Transparency with Diana B.: How John Hyland Fought Cancer and Won—Three Times

Jun 24, 2020

“I said, ‘Doc, am I going to live?’ And it was just silence. He finally says, ‘We have a lot of work to do.’ And that day was a tough day for me.”

DOL Puts Guardrails Around Use of ESG in Private Retirement Plans

Jun 24, 2020

The Department of Labor has proposed a new rule that would require more analysis and documentation around ESG investments in private retirement plans.

Michael Kitces' #FASuccess Podcast: Elizabeth Nesvold on the Evolution of the Valuation of Wealth Management Firms

Jun 23, 2020

Raymond James' Elizabeth Nesvold details what investment bankers actually do for wealth management firms.

Hightower Names Stephanie Link New Chief Investment Strategist

Jun 23, 2020

The firm has appointed Stephanie Link, former head of global equities research at Nuveen, as its new chief investment strategist, a newly created role.

Q&A: Peter Mallouk on His Latest Acquisition, M&A and Plans to Re-Up TV Ads

Jun 23, 2020

Creative Planning CEO Peter Mallouk opened up recently on his latest acquisition, where it fit, the firm's approach to M&A, and plans to re-up on his TV marketing strategy.