Looking Ahead and Managing Change: 35 Years With Investment Advisor—Slideshow
This year is the 35th anniversary of Investment Advisor.
Navigators: How to Guide Clients Through Big Life Changes
A new certification helps advisors with the human side of guiding clients through major transitions like retirement.
Tony Robbins Slams Critics, Says He’s Not a Financial Advisor
Supercoach Tony Robbins, who invites seminar attendees to walk over hot coals, is now raking RIAs over the coals for taking “pot shots” at him.
New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
Focus, Dynasty Add Teams; Morgan Stanley Grabs 4 FAs With $660M
Boutique firms continue to attract registered reps, including some from the wirehouse firms.
New Hire Roundup: Women in ETFs Announces Board Members, Leaders
Also in new hires, FNEX has named Neal Wolkoff to its newly formed board of advisors.
Raymond James Recruits 3 Wirehouse Teams, $875M in Client Assets
Meanwhile, Morgan Stanley and Merrill Lynch grab advisors from each other in the latest recruiting push.
Tiger 21 Celebrates Founding With 260 Ultra-Wealthy Members
Tiger 21, the peer-to-peer investor group for ultra-wealthy investors, is celebrating the 15th anniversary of its founding in New York this spring.
The Expat Life: Helping Clients Retire Overseas
The trend of Americans retiring in foreign countries to live more comfortably opens a new frontier for advisors.
SEC, DOL, FINRA Enforcement: SAC Capital Could Plead Guilty
Among other recent enforcement actions, DOL retrieved $1.6 million for Sunkist employees and FINRA fined and censured Scottrade.