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Adam and Daniel Kaplan were charged with wire and investment fraud and money laundering for misappropriating at least $5 million from dozens of clients, many of whom were elderly or disabled.
As a former Merrill ACTM chairperson, Andy Ferguson had an acute view of the changes taking place at the firm. He shares how that influenced his decision to opt for independence over Merrill’s retire-in-place program.
The newly-appointed advice tech executive talks about how he got started in politics, how this work intersects with his new role, his thoughts on the fee-for-service model debate and his vision for the future of the advisor billing software company.
The CEO of SignatureFD discusses the importance of understanding people’s motivations, the evolution of a firm’s messaging and why inclusion is key to a positive culture.