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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).
January 15, 2019
The best case for a majority of investors would be another poll on whether Britain should leave the EU.
January 15, 2019
The bank will limit asset growth in 2019; meanwhile, another San Francisco-based wealth firm tells a rosier story.
January 14, 2019
Jamie Hopkins was an associate professor of taxation at The American College of Financial Services.
January 14, 2019
Envestnet says Yodlee’s sales have nearly doubled since it purchased the firm.
January 11, 2019
Regulatory filings show Jeff Bezos owns almost 79 million shares; how many will MacKenzie Bezos get from their divorce?
January 11, 2019
The government shutdown is affecting "business confidence and could weigh on consumer confidence," according to a Deutsche Bank economist.
January 10, 2019
Washington-based advisors discuss their suggestion for clients, who have mounting questions as they prepare to miss a paycheck.
January 10, 2019
The asset manager will fire 3% of its global workforce, its biggest headcount reduction since 2016.
January 10, 2019
LPL has added a team from Wintrust Investments with $640 million in assets to its hybrid platform.
January 09, 2019
Unless the impasse is resolved quickly, 800,000 federal workers will miss their paychecks due at the end of the week.
January 09, 2019
Evans, Rosengren ready to be patient despite optimism; Atlanta Fed chief Bostic says next move could be a hike or cut.
January 09, 2019
"The panic in December was a buying panic, not a selling panic," Gundlach said.
January 09, 2019
One player in the space, Plaid, says it’s buying New York-based Quovo in a deal that could be worth about $200 million.
January 08, 2019
As industry watchers compare Atria to Cetera, management insists the firm is focused on bringing the right services to its advisors.
January 08, 2019
The purchase could bring Atria a network of over 1,900 independent advisors with about $65 billion in total assets.
January 08, 2019
The purchase could bring Atria a network of over 1,900 independent advisors with about $65 billion in total assets.
January 07, 2019
Based in San Diego, Retirement Benefits Group has 15 affiliated offices and 68 advisors who serve more than 580 retirement plans.
January 07, 2019
The news comes about two months after intense industry speculation that the former HD Vest CEO planned to make the move.
January 04, 2019
Meanwhile, Power Investment Services, which has some $130 million in assets, has joined LPL's hybrid platform.
January 04, 2019
Fed watchers say the bar is very high for the president to remove the Fed chair “for cause,” and Powell could fight the dismissal in court.
January 04, 2019
House Democrats ignored a Trump veto threat and passed a two-bill package to reopen all federal agencies without $5 billion for a wall on the U.S. Mexico border.
January 03, 2019
According to Vanguard, the fund has not won "broad acceptance."
January 03, 2019
BofA says the Edge platform, which includes its robo-advisor Guided Investing, had close to $204 billion in assets as of Sept. 30.
January 02, 2019
Plus, Dakota Wealth Management, an independent wealth group with $700 million in assets, acquires GML Associates.
January 02, 2019
The rainmaker to watch this year is Michael Grimes, who’s based in Silicon Valley as co-head of the bank’s technology franchise.
January 02, 2019
Since 1928, gains or losses in any year’s inaugural session have matched the annual direction of U.S. stocks only about half of the time, data compiled by Bloomberg shows.
January 02, 2019
Boston-based Colony Group, which has over $6 billion in assets, is buying Aurora, which has roughly $400 million.
January 01, 2019
Recruiter Jon Henschen tells ThinkAdvisor which firms seem to be boosting their recruiting for the coming months.
December 28, 2018
The bank opened more than 3.5 million unauthorized accounts and improperly enrolled 528,000 customers in online bill pay, according to the California Attorney General.
December 28, 2018
First Republic Bank, which includes about 150 financial advisors with $131 billion of assets, has been on a recruiting tear.
December 28, 2018
Environmental, social and governance exchange-traded funds and other products have $23.22 billion in total assets worldwide through Nov. 30.
December 27, 2018
Dow Industrials gain more than 800 points in less than 2 hours; Euro Stoxx 50 enters bear market; dollar falls, bonds gain.
December 27, 2018
The violations took place over a five-year period, Massachusetts securities regulators say, and involved the use of a third-party CMS.
December 27, 2018
The improper activities took place from late 2011 to early 2015 and produced $71 million in revenue for the bank.
December 26, 2018
The exit from funds came as stocks have plunged on fears of a slowing global economy and President Donald Trump’s criticism of Federal Reserve Chairman Jerome Powell.
December 26, 2018
Among the departments without funding are Justice and Treasury; independent agencies like the SEC are also affected.
December 26, 2018
A GAO report states the CFPB fails to use information from its market monitoring and other sources to determine serious consumer problems.
December 21, 2018
In weaving your way through broker-dealer procedures, there are some specific ways to obtain as much attention and assistance as you need.
December 21, 2018
The former star broker is accused of excessive trading; she accuses FINRA of "strong-arm and coercive tactics."
December 21, 2018
The regulator charged Wealthfront with making false statements and misleading ads and faulted Hedgeable's performance comparisons.
December 21, 2018
Among its new executives is Mike Curley, the former chief compliance officer of First Republic Securities, who oversaw 600-plus registered reps.
December 21, 2018
To date, states have recovered some $488 million from settlements tied to issues with manipulation of the London Interbank Offered Rate.
December 21, 2018
The group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.
December 20, 2018
The SEC "will maintain its focus on critical market infrastructure and Main Street investors" in the year ahead, says Chairman Clayton.
December 20, 2018
Swiss private bank pitches strategies akin to relative value as bearish forces grip assets unevenly
December 20, 2018
Commonwealth's Brad McMillan blames the Fed, but SPDR strategist Michael Arone says there are other trends in play.
December 20, 2018
At least 120 financial advisors were involved in prohibited IPO sales tied to Facebook, Twitter and other firms from 2010 to 2018.
December 20, 2018
Meanwhile, LPL Financial says Athens Federal Community Bank is now using its hybrid platform.
December 19, 2018
A team with $900 million joins Stifel in Minnesota, while Janney picks up an advisor with $60 million in New Jersey.
December 18, 2018
Meanwhile, Commonwealth adds a former LPL team led by two female advisors.
December 17, 2018
Bond King argues that 2019 is a year for capital preservation; U.S.-China trade war is likely to worsen, hurting growth.
December 17, 2018
Fed decision looms large; Obamacare ruling whacks insurers; dollar slips; Texas crude settles below $50; Treasuries gain.
December 17, 2018
A sale of Kestra now, before the bull market ends, would be a smart move, industry insiders say.
December 17, 2018
According to the group's incoming president, chapters are not set to be eliminated, though their legal entities would be.
December 14, 2018
Ron O’Hanley, president and COO, will take the reins on Jan. 1 for the asset manager.
December 14, 2018
The cuts are less steep than those made recently at many other firms, recruiters say.
December 13, 2018
In 2019, advisors who fall below $250,000 in revenue for the prior 12 months will see their pay rates fall to 19% from 22% of certain monthly targets, and to 47% from 50% of other revenues.
December 13, 2018
One research firm says the price tag for cybercrime could hit $6 trillion by 2021; New York's Global Cyber Center picks up steam.
December 13, 2018
Chance of U.S. downturn 30% in next 12 months, a nine-year high, says the bond giant, which oversees $1.7 trillion.
December 13, 2018
Advisors should share these new and tried-and-true tactics with clients, who may find they work to their advantage.
December 13, 2018
Meanwhile, LPL says that two of its affiliated groups have merged, forming a super OSJ with over 100 advisors and $4 billion in assets under advisement.
December 12, 2018
The head of DoubleLine also thinks the bond market sees interest rate hikes as unlikely in 2019-2020.
December 11, 2018
Michael Kitces asked about better ways to rank top-performing advisors. Here's what advisors said.
December 11, 2018
The platform also syncs with AI-equipped voice assistants and chatbots that answer questions about advisors to prospects and clients.
December 10, 2018
A good advisor can devise successful strategies to contend with even the most complex financial situations.
December 10, 2018
Independent Advisor Alliance says some $2.3 billion in assets could move to its operations this year from IFP.
December 10, 2018
In an interview with ThinkAdvisor, Carson also says market volatility makes him "excited."
December 07, 2018
“FINRA is still losing BDs," consultant Tim Welsh says. "No one is starting them. It’s not happening.”
December 07, 2018
The regulator zooms in on sales of variable annuities and volatility-linked products, among other areas.
December 06, 2018
The technology allows for goals-based financial planning and specialized portfolio building.
December 06, 2018
What the financial planning guru thinks about columnist Ron Lieber's negative experience with an insurance salesman.
December 06, 2018
The news comes about six weeks after the passing of the bank's global wealth chief Terry Laughlin; also this week, Merrill loses a pair of advisors to Janney Montgomery Scott.
December 06, 2018
Setting arbitrary objectives for your insurance agency can often hold you back as much as it pushes you forward.
December 05, 2018
Industry watchers debate the wisdom of the wirehouse's new approach and what it could mean for advisor retention and its bruised brand.
December 04, 2018
Shannon Reid will oversee Raymond James Financial Services operations in 12 states and the District of Columbia.
December 04, 2018
Despite this outlook, analysts with Goldman Sachs have an overweight call on stocks and an underweight call on bonds, though they recommend a bigger holding of cash than benchmarks suggest.
December 04, 2018
For the first time in a decade, investors can benefit more from safe, liquid securities than from the S&P 500 Index, adjusted for volatility, according to the bank's asset management team.
December 03, 2018
The firm wants to help its advisors “turn prospects into clients,” CIO Burt White tells ThinkAdvisor.
December 03, 2018
Two new recordkeepers will be added by the end of 2018 and several more next year.
November 30, 2018
The Labor secretary was part of a bargain that allowed Jeff Epstein to serve 13 months in prison in exchange for information regarding two Bear Stearns executives.
November 30, 2018
Envestnet President Crager, consultant Timothy Welsh and others talked to ThinkAdvisor about the significance of the deal.
November 29, 2018
The popular psychologist and author aims to "bring behavioral tools, training and technology to financial advisors."
November 29, 2018
Meanwhile, RBC Wealth adds a branch manager from Wells Fargo, and Investacorp brings on a multi-gen team from Summit.
November 28, 2018
With help from BDs and advisors, we spotlight work to support local, national and global charitable efforts.
November 28, 2018
With help from BDs and advisors, we spotlight work to support local, national and global charitable efforts.
November 28, 2018
With help from BDs and advisors, we spotlight work to support local, national and global charitable efforts.
November 28, 2018
With help from BDs and advisors, we spotlight work to support local, national and global charitable efforts.
November 28, 2018
With help from BDs and advisors, we spotlight work to support local, national and global charitable efforts.
November 28, 2018
We are proud to spotlight how independent advisors and broker-dealer staff make a difference with their volunteerism.
November 28, 2018
Commonwealth Financial Chairman Joe Deitch discusses his book, "Elevate: An Essential Guide to Life."
November 28, 2018
In Austin, the independent broker-dealer draws nearly 1,200 affiliated advisors to its yearly educational conference.
November 27, 2018
ThinkAdvisor will host an educational webcast on artificial intelligence starting at 2 p.m. Eastern time this Thursday, Nov. 29.
November 27, 2018
The deal could result in a firm with nearly 1,300 financial advisors and some $250 billion in client assets.
November 27, 2018
There are three ways the 5% stake could boost Envestnet, according to equity analysts, who also describe how BlackRock stands to gain.
November 26, 2018
Several firms reversed gains they made in the prior quarter, while others sharply improved.
November 21, 2018
James Cordier cites volatile trading in natural gas, crude; Tampa-based Optionsellers.com’s accounts have been liquidated.
November 19, 2018
The new executive, Larry Adam, is hired from Deutsche Bank; he used to work for Alex. Brown, which is now owned by his new employer.
November 19, 2018
The buyer-interest gauge is “pretty weak” and may be more concerning if it stays below 50 for a few months, said Barclays economist Blerina Uruci.
November 16, 2018
The firm says eQuipt will cut account-opening time in half for its 6,800 reps.
From Smarsh
Instant messenger makes it easier to communicate, but also runs the risk of violating regulations if you’re not careful. Learn how to connect, yet still remain compliant.
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 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 SEI
High-net-worth clients expect exceptional service in all facets of their lives.
From LPL Financial
Learn how to customize “life portfolios” to address your clients’ evolving needs, doing what’s best for them, while also running a profitable business.
From Schwab Advisor Services
Advisors are choosing the independent RIA model now more than ever. Discover 5 different paths you can take to independence.
From Edward Jones
Discover how to create a win-win for clients and your financial advisory business.
From Edward Jones
The future is now and you must learn how to take advantage of the benefits created by the arrival of AI or be left behind.
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 SEI
Interested in learning why it may be time to look beyond the traditional AUM model to keep up with evolving trends?
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 Edward Jones
In planning for the future of your practice, do everything you can to ensure a smooth transition for your clients.
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 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 Schwab Advisor Services
Why more advisors are choosing to become RIAs
From LPL Financial
A comprehensive handbook for attracting clients through digital marketing.
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Copyright © 2019 ALM Media Properties, LLC. All Rights Reserved.
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