The SEC needs to provide more clarity around crypto ETFs
The Securities and Exchange Commission has been ordered by a court to explain its reasons for rejecting an application for a crypto-based exchange-traded fund. It's about time.
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The 4 biggest knocks against donor-advised funds — and why I call them myths
DAF skeptics say the funds are little more than tax loopholes disguised as philanthropy. Not so, says Brad Saft of DonorAdvisedFunds.com.
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Steward Partners to ramp up M&A, aiming for $1B in revenue
The CEO of the 10-year-old hybrid RIA sees opportunity ahead to scoop up smaller practices in a tougher environment for buyers.
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JPMorgan fund seeks to 'democratize' private equity
The new offering will be only open to accredited investors and qualified clients.
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Steward Partners adds new RIA-only option with incoming $170M team
Planner Faiza Kedir became the first to use the new affiliation, as independent firms seek to boost their appeal across the industry's spectrum.
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'Cherry-picking' advisor pleads guilty in federal court
Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.
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7 wealth management takeaways from Arizent's 2023 DEI research
A new Arizent study finds that when it comes to diversity efforts that matter, "commitment" is the key word.
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Terry Rasmussen's long journey to becoming the CEO of Thrivent
Rasmussen, a Minnesota native, started her professional career as a dental hygienist. After a series of twists and turns, she now runs Thrivent, a multibillion-dollar fraternal benefit society.
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LPL's Linsco channel grew AUM sevenfold in 4 years. What's next?
LPL's employee channel has proved popular since its 2019 launch, and recently announced its first $1B team. Here's how that move happened and where Linsco goes from here.
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Goldman fires legal barrage to enforce nonsolicitation deals ahead of sale to Creative Planning
The Wall Street giant is seeking to enforce contract clauses meant to keep former employees from working for rival firms or reaching out to clients for six months.
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Aaron Klein announces AI for advisors, dollars for vulnerable children at Fearless Investing Summit
A new name, new tools and more than $50,000 for kids in Ethiopia gave the leader of the wealthtech firm formerly known as Riskalyze plenty of reasons to smile this week in Miami.
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Arkadios adds $800M breakaway team going independent
Two financial advisors left JPMorgan Securities and one left Capital Group's high net worth unit for the fast-growing midsize firm.
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1 in 4 Americans are 'sandwiched' between their parents' and children's expenses
New research shows 26% of U.S. adults are wedged between two generations of expenses, leaving little room for their own savings.
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UBS picks up $1.7B private wealth team from AllianceBernstein
The team, led by three experienced industry players, will work out of the Philadelphia office the Swiss banking giant opened in August.
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NFL HOFer Ray Lewis on why financial advisors should treat clients like family
During Nitrogen's 2023 Fearless Investing Summit, the two-time Super Bowl champ gave a keynote address on leadership and life on and off the field.
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Ermotti return 'Hollywood casting' for UBS, former top insider says
Naratil sees the new CEO as the right person to deliver on integration with Credit Suisse.
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The SEC must take action to protect investors from forced arbitration
Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.
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Recruiting case highlights perils of equity deals
Industry recruiters say offers of shares in advisory firms are hard to value.
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How the ticking clock affects tax-loss harvesting
A new working academic paper cites a dearth of research about the increasingly widespread strategy and the need to consult financial advisors about it.
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Franklin Templeton CEO on the 'unintended consequences' from interest rate hikes
At the Most Powerful Women in Banking conference, asset management leader Jenny Johnson discussed opportunities and risks for portfolio managers in 2023.
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