What Vanguard's New Advice Unit Could Mean for Clients: Morningstar
By Dinah Wisenberg BrinIt remains to be seen whether investors will take to Vanguard's stepped-up advice efforts, an analyst says.
January 28, 2025
Sycamore Rolls Out New Surveillance PlatformAdvisory firms can use the technology to detect, monitor and review activities like transaction and commission data.
January 28, 2025
Docupace Promotes Elizabeth Pavlik to New Chief Product Officer RolePavlik was promoted after a decade with Docupace.
January 28, 2025
FINRA Issues New Warning on Reg BI, Form CRS ComplianceThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 23, 2025
Wealth.com Nabs Nitrogen Exec for Key RoleDan Bolton will serve as head of marketing for the estate planning platform.
January 22, 2025
This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really WorkJudith French is in charge of the suitability rule update meant to mesh with the SEC's Regulation Best Interest.
January 21, 2025
Too Many Hats? Advisors Best Serve by Doing 'What They're Best at'Younger advisors are figuring this out early and leaning into outsourcing, says Shannon Spotswood of RFG Advisory.
January 21, 2025
Envestnet, Newly Private, Appoints Chris Todd as CEOThe firm’s new leader joins from Ultimate Kronos Group, an international software provider.