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In a statement before the Senate Finance Committee, XYPN co-founders Michael Kitces and Alan Moore said a provision in the Retirement Security and Savings Act would unfairly benefit record-keepers and could result in conflicted advice.
Dan Johnson, President & CEO, Birchcreek Wealth Management, talks candidly about the reasons behind why his multi-generational team at Merrill Lynch chose to go their separate ways—with him choosing independence.
Connecticut is now the 16th state to pass legislation based on the National Association for Insurance Commissioners' model rule, which intended to align state annuity rules with Reg BI.
Many Wall Street firms are hurriedly reworking their plans, either pushing back the date when they expect staffers to return or requiring workers to get vaccinated.
In her first year of building a wealth management firm, advisor Anne Marie Stonich was also caring for a newborn baby and struggling with her mother’s death. But the events have positively shaped her view on life and her work as an advisor.
As the U.S. confronts the Delta variant, many firms are updating their return to the office plans, in some cases postponing them, in others requiring vaccinations.
The SEC argued that ISC, with more than $1 billion AUM, also failed to self-report during the SEC's Share Class Selection Disclosure Initiative even though it was eligible to do so.
