Tag: financial advisers

Advisers should emphasize their value propositions, such as professional competency and duty of care, according to CFA policy center.

Pontera announces partnership with Commonwealth Financial Network; SELAX Brokerage enhances annuity transaction efficiency with Luma Financial Technologies; Ritholtz Wealth Management...

The industry regulator provided areas of focus for the year ahead to member firms.

The firm’s board is searching for a replacement to head the wealth management and financial wellness platform and product provider.

Amma Boateng will assume the role in January, replacing Tom Rampulla, who is retiring after 35 years at the firm.

The firm also predicts rising demand for end-to-end technology solutions and personalized services.

According to Schwab, financial advisories with good track records are showing more commitment to a diverse workforce.

The capital from Iconiq Growth brings the 401(k) advisory management provider’s total funding to $160 million.

The retirement platform is geared toward wealth managers seeking a plan option and includes four options for providers of target-date...

A new survey by the asset manager also shows that more than half of respondents view U.S. Treasurys, investment-grade corporate...

Jim Kiley of Security Benefit outlines the multiple opportunities available to retirement plan advisers with school district employees.

It’s a well-known and widely discussed fact: Women are significantly underrepresented in the financial adviser community. How can we change...

Ameriprise adds 3 teams worth total of $1.1B in client assets; Mercer Advisors Snags Texas-based $680M wealth advisory; Cetera adds...

AdvicePay names Suaickie CEO as Moore shifts to board; Plan Sponsor University brings on Kelleher as consultant; Ascensus names retirement...

Recent surveying shows more managed account sponsors are moving advisers to focus on clients, relying on home office or outsourced...

Advisers also turned to personalized options such as direct indexing to stand out for clients. 

The SEC penalty addressed recordkeeping issues including the early deletion of 47 million emails.

The new retirement CEO sees a “heightened” interest from wealth managers in engaging with workplace retirement plans and participants.

People more often turn to advisers for coaching and piece of mind than for specific financial needs, according to new...

The bill would require the SEC to study and update its definition of ‘small entity,’ which could significantly impact independent...