Tag: financial advisers

Janus Henderson’s latest investor survey reveals a mix of anxiety, inaction and opportunity among affluent pre-retirees.

According to a July survey, nearly half of surveyed advisers were willing to recommend private market investments, but most also...

Independent advisers and employer-sponsored programs can offer estate planning support to earn the business of affluent investors, per a recent...

The Garden State has proposed labeling investment advisers and broker/dealers ‘employees’ rather than ‘independent contractors.’

The company intends to create a new generation of offerings to improve advisers’ productivity.

Two-thirds of households plan to continue saving more, particularly in taxable and retirement accounts.

A TIAA Institute and MIT AgeLab survey finds consumers working with advisers are more satisfied with financial advice, underscoring the...

Non-retired women see the responsibility of securing a steady lifetime income being shouldered by individuals, not employers, according to a...

The settlement, reached a little more than two months after he was fired, was about 15% of the total he...

The rise of managed accounts and increase in holistic financial advice is driving the trend.

Outgoing SEC Chair Gary Gensler oversaw the highest fines figures for the regulator in 2024, though total enforcement actions were...

Biden appointee Gensler will step down after a ‘robust rulemaking agenda’ as Republican leadership takes over the White House.

Erin Wood of Carson Group discusses the organization’s recent push to provide financial planning resources across plan and individual advisement.

Speakers at an eMoney financial adviser summit noted that AI is most useful for wealth managers as a practice management...

Wayne Park, CEO of John Hancock Retirement, discusses ways the retirement industry can help workers be better prepared for retirement.

A survey of 300 FAs found clients fretting over the fall elections and a market downturn, while advisers are more...

Stock analysts are watching for specific details of Dan Arnold’s dismissal while touting Rich Steinmeier’s business growth credentials.

Dan Arnold is out effective immediately for statements made to employees that ran afoul of policy; Rich Steinmeier, chief growth...

The partnership with the recordkeeper comes on the heels of Fidelity warning it would block Pontera’s third-party 401(k) credentialing business...

Fidelity will soon block financial advisers from using third-party fintech services to access clients’ workplace plans.