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Copyright © 2018 ALM Media Properties, LLC. All Rights Reserved.
Janet Levaux, MA/MBA, is Editor in Chief of Investment Advisor magazine; she has covered the financial markets since 1991 and advisors since 2005. After living in Latin America and Europe as part of her studies at Yale and Johns Hopkins SAIS, Janet worked in Japan and then California, where she earned a business degree, before returning to her hometown of San Antonio, Texas (which turned 300 in 2018).
November 12, 2018
Three firms have applied to increase stakes in securities JVs; trade war, falling stocks and debt pile are all warning signs.
November 12, 2018
Group moves to the independent channel in Arkansas; its members have roughly 200 years of combined industry experience.
November 12, 2018
Johnson Associates predicts equity traders might get 20% more; M&A advisers face pay cut, according to closely watched report.
November 12, 2018
It is now offering advisors Target Allocation Index-Focused Model Portfolios, with expense ratios of 0.03%-0.12%.
November 09, 2018
At its yearly meeting in Austin, leaders of the indie broker-dealer describe its focus on RIAs and other efforts to boost its service level.
November 07, 2018
The new advisor groups come on board in Florida and Kentucky; they have a total of $330 million in client assets.
November 07, 2018
The news comes two months after a report of gender-bias complaints at a business he leads.
November 06, 2018
The two teams had a combined $475 million in AUM.
November 06, 2018
As it digs deeper into past misdeeds, the bank continues to add to the number of affected clients.
November 05, 2018
Separately, Arkadios Capital adds a $3.5 billion fixed income team from Raymond James.
November 05, 2018
After a tough October for stocks, UBS just asked investors with assets of $1 million or more how they are feeling about the markets and political momentum.
November 02, 2018
Multiple factors are converging that could signal trouble for markets into next year.
November 02, 2018
The acquirer believes the deal should bring institutional-quality customer service and top technology to Main Street broker-dealers, asset managers and retail investors.
November 02, 2018
In a related development, Triad owner Ladenburg Thalmann says a separate subsidiary has acquired annuity-related assets.
November 02, 2018
Merrill will institute a noncompensable policy, which executives say is “in line with many of our peers.”
November 02, 2018
Tax overhaul kills alimony deduction for divorces after 2018; reaching a deal soon could mean tens of thousands in savings.
November 01, 2018
Robert Shapiro agreed to pay the funds to the U.S. Securities and Exchange Commission to settle allegations he defrauded investors in a $1.2 billion real-estate investment scam.
November 01, 2018
The advisors are expected to bring over about $660 million starting this quarter.
November 01, 2018
Tim Buckley will succeed Bill McNabb, becoming the fourth chairman of the investment firm in its 43-year history.
November 01, 2018
Meanwhile, Raymond James continues to add reps from Wells Fargo, and Ameriprise recruits a team from FSC.
October 31, 2018
The two advisors come on board about one week after RBC added a Wells Fargo group with $1.4 billion in assets.
October 31, 2018
The Fed governors voted to separate megabanks from smaller, regional banks like U.S. Bancorp, Capital One and PNC Financial Services Group.
October 31, 2018
As the firm aims to boost scale, its likely targets may include U.S. and U.K. asset managers focused on retail clients and specialized asset managers in areas such as real estate, sources say.
October 30, 2018
The technology handles front-, middle- and back-office administrative tasks, including paperless onboarding of new clients.
October 30, 2018
FINRA says the independent broker-dealer took too narrow an interpretation of which customer complaints needed to be reported.
October 29, 2018
Matthias Krull pleaded guilty to role in money-laundering case; judge in Miami suggests she could reduce term if he cooperates fully.
October 29, 2018
The former chief risk officer worked with CEO Brian Moynihan at FleetBoston Financial.
October 26, 2018
Net new advisory asset flows were $5.9 billion on the corporate platform but -$0.8 billion on the hybrid platform.
October 26, 2018
OCC stopped bank's expansion into new states for rule infractions; Trump officials reversed Obama-era regulatory enforcement.
October 25, 2018
The firm has 7,813 advisors, up 467 from a year ago.
October 25, 2018
Executives at Raymond James describe why work as a registered rep makes so much sense for female professionals and what they are doing to move the needle.
October 25, 2018
Driving success and growth involves bringing commitment, communication and collaboration together, says consultant Angie Herbers.
October 25, 2018
The aging bull market should push advisors to protect client gains. Alternative strategies can help. Here are some, demystified.
October 25, 2018
The wirehouse is working with Broadridge to revamp back-office functions and streamline management of multiple accounts for ultra-wealthy clients.
October 25, 2018
Chief administrative officer, chief auditor have begun leave; the two executives were also removed from operating committee.
October 24, 2018
Meanwhile, Raymond James adds wirehouse reps with $198 million in assets, while LPL Financial picks up teams from rivals with over $1.3 billion.
October 24, 2018
The firm, which works with about 2,300 advisors, says the deal expands its service offerings as demand for trust services is growing.
October 24, 2018
CEO says Tim Hockey says the brokerage will allow trades with Amazon Alexa.
October 23, 2018
“The more we can automate, the more time advisors can spend with their clients," according to CEO Tim Hockey.
October 23, 2018
Advisors looking to join the firm's hybrid RIA and bringing less than $25 million will be charged up to 5 basis points.
October 23, 2018
Yield curve cycle points to enduring era of higher volatility; Goldman echoes prediction for more price swings based on GDP.
October 22, 2018
This settlement is separate from the AG's continuing investigation of the bank's opening of fake accounts.
October 22, 2018
Speculation is strong after CEO Walt Bettinger spoke about the firm's competitive strategy during its third-quarter earnings call.
October 22, 2018
Advisors must work with entrepreneurial clients to see how their companies fit into their broader portfolios.
October 19, 2018
Alexander Clark Jones failed to pay a promissory note and is now liable for it, along with interest and associated costs, a regulatory panel says.
October 19, 2018
The wirehouse is tinkering with its compensation program so more elite advisors will stay with the firm and find successors within.
October 19, 2018
Entreda's news follows a $1 million settlement reached by Voya Financial Advisors with the SEC over cybersecurity failures and compromised client personal data.
October 19, 2018
In the past five years, Morgan Stanley has tripled these loans to high-net-worth individuals.
October 18, 2018
The Massachusetts Democrat asked Fed Chairman Jay Powell to maintain growth limits on the bank earlier this year to ensure that real changes are made.
October 18, 2018
The bank’s gauge is more pessimistic than a recession tracker maintained by the Federal Reserve Bank of New York.
October 18, 2018
Meanwhile, LPL Financial adds advisors from the Cetera broker-dealers; SagePoint and Securities America share details on their latest hires.
October 17, 2018
For one thing, the boomers aren't going anywhere anytime soon.
October 17, 2018
CEO Clara Shih tells ThinkAdvisor how Hearsay is helping advisors turn their phones into "smart work systems."
October 16, 2018
The wealth group has 15,655 advisors, up 23 from the prior quarter but down 104 from a year ago.
October 15, 2018
The virtual reality tool is intended to show investors what stock and options exchanges, as well as a Bitcoin mine, are really like.
October 15, 2018
The number of Merrill advisors is 14,838, up 18 from the prior quarter but down 116 from the prior year.
October 15, 2018
Fidelity Digital Assets is aimed at institutional investors looking for a big-name platform provider.
October 15, 2018
There are too many proxies in the insurance industry trying to mask themselves under the guise of wealth management, financial planning and retirement planning.
October 15, 2018
Board of Spring Labs includes Sheila Bair of FDIC and Capital One’s Morris; firm uses blockchain tech to share consumer credit data.
October 12, 2018
The bank and its wealth unit improved profits, but WFA has lost over 1,000 reps since the fake-accounts scandal began.
October 12, 2018
Which BD in this space will be sold next? A recruiter weighs in.
October 12, 2018
JPMorgan CEO Jamie Dimon warned that swelling geopolitical risks could spill into the U.S. economy.
October 11, 2018
JPMorgan, Wells Fargo and Citi report results on Friday, followed by Bank of America, Morgan Stanley and Goldman Sachs early next week.
October 11, 2018
The firm has restructured its board following Genstar's purchase of a stake.
October 10, 2018
Meanwhile, LaSalle St. Securities adds two advisors from Sterne Agee and Broker Dealer Financial Services.
October 10, 2018
Cory Clark has been with the firm for 12 years and will now work as its chief marketing officer.
October 10, 2018
A recent survey found that 70% of women believe women and men have “fundamentally different life journeys."
October 10, 2018
About 20% of U.S. AUM is now tied to sustainable, responsible and impact investing.
October 09, 2018
Fund downgrades world outlook for first time since July 2016; turbulence in emerging markets another major factor, IMF says.
October 09, 2018
It's worth looking at different ways to develop cross-pollination and collaborative business opportunities within a Super OSJ network of advisors.
October 08, 2018
Companies with ‘longest duration’ at risk in bond move, according to Mike Wilson, the firm's chief U.S. equity strategist; a reversal would mark a downfall for the rally’s biggest winners.
October 08, 2018
By nearly every measure, nothing has improved under the CEO during his two years at the helm, Stephen Gandel writes.
October 08, 2018
The program is part of its Envision platform and aims to boost interaction between the firm's 15,000 advisors and their clients.
October 04, 2018
Hockey discusses how the discount-brokerage firm is adding some powerful tech partners and maintaining a quick pace of innovation.
October 04, 2018
The platform will give clients tailored content based on their online behavior.
October 03, 2018
In the face of disruption, there are steps that financial professionals can take to stay at the top of their game.
October 03, 2018
Also, Cetera Financial Group says advisors who have affiliated with its broker-dealers over the past few weeks could bring over $650 million in client assets.
October 03, 2018
The firm shares the news less than a year after it started selling Bitcoin futures to some retail clients.
October 03, 2018
Avi Shua was with Goldman for almost 28 years and led its global wealth management tech group since 2013.
October 03, 2018
The chairman says that the industry needs to embrace a fiduciary standard that puts it on the right path to help Main Street investors.
October 02, 2018
During Raymond James' 2018 Women's Symposium, four top FAs shared their experience and advice.
October 01, 2018
A look at how different sectors are likely to be affected by the latest trade accord.
October 01, 2018
As part of the program, the BD subsidizes associate advisors' compensation for the first year.
October 01, 2018
The independent broker-dealer, which serves more than 500 affiliated reps, also says more updates are planned.
September 28, 2018
Two portfolio managers stress the strong conditions present in today's equity markets and point to potential risks.
September 28, 2018
The combined firm should work with 300-plus RIAs and have a combined $30 billion in assets under management.
September 27, 2018
Suit sends Tesla shares down 13% in after-hours trading; SEC seeks order that Musk can’t serve as officer or director.
September 27, 2018
The head of the broker-dealer and the leader of its women's network break down the industry's challenges at Women's Symposium.
September 27, 2018
At Raymond James Women's Symposium, the head of Focus Brands explains how advisors can turn unmet needs into future success.
September 27, 2018
Almost 1,000 boards still lack even one female director; bank will give companies three years to find women candidates.
September 27, 2018
The reps have about $850 million in combined assets; Baird adds a mother-son team from Wells Fargo.
September 27, 2018
Morgan Stanley grabs an executive from Betterment, Advisor Group pledges to interview female candidates for top posts, and HD Vest gives its reps access to Envestnet tools.
September 27, 2018
Three researchers present a retirement spending strategy focused on delaying Social Security and getting the most out of RMDs.
September 27, 2018
As Nicholas Arreola of CLS Investments explains, with technology widening its influence in financial services, advisors are discovering that managing client behavior can be their magic wand.
September 26, 2018
Scott Posner will be based in San Diego; prior to IBM, he worked for a consultancy and as an executive at BNY Mellon.
September 25, 2018
The team specializes in tax issues, and many of their clients are women, including widows.
September 25, 2018
Family offices returned 15.5% on average last year; UBS and Campden Wealth Surveyed 311 family offices globally.
September 24, 2018
'Pressure on EM will remain, as the U.S.-China trade tensions continue to simmer in the background, said one Singapore-based analyst.
September 24, 2018
Gary Hirschberg, 39, now leads Chicago-based Aaron Wealth Advisors.
September 21, 2018
He steps down in the wake of fraud charges at another firm he leads.
From Schwab Advisor Services
Why more advisors are choosing to become RIAs
From Edward Jones
Traditional outbound marketing efforts will no longer cut it. Discover how to embrace the wave of the future today.
From LPL Financial
Learn how to better evaluate your options and make the best long-term decision for you and your clients when looking to grow your business.
From Lincoln Financial Group
Your clients may not understand what their true medical and care needs will be in the future. Use this workbook to walk them through what to expect.
From Lincoln Financial Group
As the Baby Boomer generation continues to age, their needs will continue to grow. Help prepare them for the future before it’s too late.
From Edward Jones
In planning for the future of your practice, do everything you can to ensure a smooth transition for your clients.
From Orion Advisor Services
Don’t be caught unaware by unexpected fee compression. Learn how to prepare for trouble before it shows up.
From Smarsh
You can remain compliant while still taking advantage of modern tech tools to help you be more productive. Find out how!
From Smarsh
The new generation of clients and employees want to communicate through text messaging. Learn how your firm can make changes to accommodate this preference.
From Smarsh
It’s easier to just close your eyes to the risks modern technologies can create, but you must not let your firm continue to follow risky routines.
From SEI
Interested in learning why it may be time to look beyond the traditional AUM model to keep up with evolving trends?
From Orion Advisor Services
Staying with the outdated technology tools you already have may seem easier, but the costs of being left behind could soon add up.
From LPL Financial
Growing your business through personalization of the client experience sets you (and your clients) on the best path for the future.
From Cavanal Hill Funds
Find out how to help your clients best navigate investing in fixed income funds to boost their portfolios.
From LPL Financial
Discover how showing your value through meaningful connections brings in prospects and strengthens bonds with clients.
From Orion Advisor Services
Comprehensive reporting on alternative investments as part of a larger portfolio does not have to be troublesome. Learn more about the biggest challenges and how to overcome them.
From Orion Advisor Services
In an increasingly competitive industry, advisors and independent broker dealers need to differentiate their firm. Learn how providing tax alpha at scale gives you a major competitive edge.
From Orion Advisor Services
Learn how independent advisors are using new optimization technology to stay competitive and maintain premium pricing, while the industry trends towards discounting and commoditizing services.
From LPL Financial
The decision to make a business move can be more difficult than the actual process, but it doesn’t have to be.
From LPL Financial
Get an in-depth look at what top advisors do to manage their operations, strengthen their relationships, and lock in future value.
From LPL Financial
Learn actionable strategies you can use to reassure and reinforce your value during uncertain times.
From American Portfolios
Get three key strategies to help keep clients from harming their own financial futures.
From Schwab Advisor Services
Are you ready to go independent? Thousands of advisors have made the transition. Learn how with this guide.
From LPL Financial
As regulations tighten, technology evolves and generations shift, more people look to financial advisors for guidance. Understand why and how you can capitalize on it.
From LPL Financial
The Tax Cuts and Jobs Act of 2017 ushered in the most comprehensive changes to the tax code we’ve seen in three decades -- learn how it can benefit you and the future of your practice.
From American Portfolios
Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.
From American Portfolios
The tax reform bill passed at the end of 2017 means big changes. Learn the ins-and-outs from this comprehensive guide to help your clients navigate the changes.
From American Portfolios
Having a succession plan and ensuring the continuity of business--not only for the advisor, but for the clients they are charged with protecting--is an integral aspect in business of any kind.
From American Portfolios
As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.
From American Portfolios
Millennials are the future of your practice; both as clients and employees. Understand how they think to capture them as clients, attract them as employees and retain them as firm succession plans.
From American Portfolios
Reviewing this paper and incorporating the steps included into your 2018 marketing plan will enable you to be effective and take advantage of the huge swells soon to come.
From American Portfolios
Secure the future of your business with customers from the largest generation in history.
From American Portfolios
Variable annuities are simplifying, bringing new opportunities to grow your business. Take a quick dive into recent product evolutions and how to identify the best clients to engage for conversation.
From American Portfolios
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
From American Portfolios
Download this complimentary White Paper to learn the 7 key considerations that will transform your business.
From American Portfolios
Build your practice focusing on managing risk and solving for the four common dreams shared by the affluent baby boomers.
From American Portfolios
Learn about the challenges and benefits of Baby Boomers and Millennials working together. Find solutions on how these generations can come together to best serve clients as the industry evolves.
From American Portfolios
ESG Investing is growing substantially as Millennial investors fuel demand for products. This guide outlines ESG history, portfolio opportunities and why ESG is positioned for massive growth.
From American Portfolios
Solidify your cyber-strength with layered cybersecurity. Learn about password management systems and how combining them with two-factor authentication helps keep your online accounts safe.
From LPL Financial
A comprehensive handbook for attracting clients through digital marketing.
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Copyright © 2018 ALM Media Properties, LLC. All Rights Reserved.
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