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Most Asset Managers Ignore Diversity When Investing, Study Shows

Oct 19, 2020

About 47% take the gender profile of a company into account, according to the poll of more than 100 global asset managers with $10 trillion in combined assets under management.

$1B Tagge Rutherford Financial Group Joins LPL Financial

Oct 19, 2020

Tagge Rutherford Financial Group joined LPL Financial from Cetera

Window Closing for Majority Sellers Seeking to Hedge Election Results

Oct 16, 2020

Time is running out for RIAs to sell majority stakes and hedge against a Democratic sweep of the presidency and Congress on Nov. 3.

Berger Financial Group Leaves IBD, Sets Up RIA

Oct 16, 2020

Berger Financial Group spent 18 years with Cambridge Investment Research but now has launched its own RIA.

DOJ Charges Texas Billionaire Robert Brockman in $2B Tax Fraud

Oct 16, 2020

Reynolds and Reynolds CEO Robert T. Brockman was charged with tax evasion, wire fraud, money laundering and more by a California federal grand jury.

The Health Care Challenge for Independent Advisors

Oct 16, 2020

Jumping from the employee channel to build an independent advisory practice is increasingly easy—except when it comes to health insurance.

CFP Board Continues Remote Proctoring for November Exams

Oct 15, 2020

The November CFP exams will be offered remotely, in addition to the brick-and-mortar centers administered by Prometric.

Morgan Stanley Adds 70 Advisors in Q3

Oct 15, 2020

Unlike its wirehouse competitors, Morgan Stanley added to its head count in the third quarter of the year, amidst the COVID-19 pandemic.

It’s True, More Investors Are Looking for Financial Advisors

Oct 15, 2020

The College for Financial Planning released a small study indicating advisors have grown their client base during the pandemic.

Merrill Lynch and the Protocol: How Long Will the Marriage Last?

Oct 15, 2020

Three years after Morgan Stanley and UBS left the Protocol for Broker Recruiting, advisors are wondering if, and when, Merrill Lynch will follow suit.

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News

Wealth Management industry news covering the financial markets, trends and wealth professionals. Stay up to date with Wealth Management news and trends through our free Morning Memo e-newsletter. Join today.

Wealth Management industry news covering the financial markets, trends and wealth professionals.
Stay up to date with Wealth Management news and trends through our free Morning Memo e-newsletter.
Join today.