What the Top BDs of 2020 Are Doing to Improve Diversity
By Janet Levaux | Ginger Szala"This work crosses immediately into our social and sustainable investing programs," said Cambridge CEO Amy Webber. "Advisors want to get out there and do more."
August 26, 2020
SEC's New Accredited Investor Definition Gets Mixed ResponseSome industry players cheered the expansion, while others said it didn't go far enough.
August 26, 2020
Morgan Stanley Launches 'Women Without Limits' ProgramThe new initiative will focus on promoting financial literacy and spotlighting female leaders.
August 26, 2020
5 Ways to Stop Micromanaging StaffAdvisory firm growth can be hurt by an over-zealous owner or leader. Instead, step back and let employees do their jobs.
August 26, 2020
Scottrade to Pay $250K Fine to Massachusetts Over Sales ContestsThe order ends a two-year dispute between Scottrade and Commonwealth Secretary William Galvin.
August 26, 2020
Advisor Allegedly Fast With $2M of Client Funds Makes SEC FuriousMark J. Boucher allegedly created false accounts and said that buying a car with a client's money was "a simple mistake."
August 26, 2020
The Top BDs of 2020 Sound Off on Private EquityLeaders of the four top firms describe what they see as PE's downsides vs. the upsides of being ownership-based.
August 25, 2020
Schwab Model Portfolios Now on Envestnet PlatformThe new Schwab Model Portfolios for RIAs, available upon request, include seven risk-based allocations with a behavioral overlay.