A Born Advisor: Profile in Success
For Alissa Carloss of Morgan Stanley in Jackson, Tenn., the financial advice business is a family affair, including her father and mother.
New Hire Roundup: Gamble Named Managing Director at F-Squared
This week in new hires, F-Squared Investments named Paul Gamble managing director, and Sean Curry and Kimberly Palleon moved up at BMO Global Asset Management.
SEC Gets an Earful From Advisors on Fiduciary Standard
Comments to the SEC from individual advisors—yes, most of them RIAs—call for one standardized fiduciary duty for all. Even Vanguard founder John Bogle weighed in.
Behavioral Finance in the Real World: Fund Profits From Human Bias
Ralf Scherschmidt's fund identifies small-cap companies in the developed world that are overlooked by market bias and then takes advantage of earnings surprises.
SEC Enforcement: Morgan Keegan Fund Directors Settle Over Botched Valuations
Also in the SEC's crosshairs recently: A penny-stock promoter nabbed in an undercover FBI sting and two medical insurance execs accused of a Ponzi scheme.
New Hire Roundup: Carol Yochem Joins TD Wealth
This week in new hires, Carol Yochem joined TD Wealth, and Karen McNeill was appointed head of family history for U.S. Bank’s Ascent Private Capital Management.
New Hire Roundup: Magner Moves Up at Mercer
This week in new hires, Mercer announced a new position for Liana Magner and NAPFA named three to its board of directors.
Fixing the Student Loan Crisis
I’m lucky. Unlike so many college students, I didn’t take out any student loans.
Janney Nabs Morgan Stanley Team in Delaware
The advisors join with about $195 million in assets and $1.5 million in yearly fees and commissions.
Baird Nabs Morgan Stanley, UBS Advisors; Securities America Expands Recruiting Group
The new Baird teams come on board with some $800 million in client assets under management in Minnesota and Tennessee.