Why Commonwealth, Edward Jones top J.D. Power advisor satisfaction
The survey's perennial champions scored higher than competitors like Wells Fargo, Ameriprise and LPL on every metric.
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We expect clients to tell us everything. Let's do the same
Opening up about your personal circumstances forms a bond that can only benefit your planning practice.
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Sanctuary lands $500M all-woman, ex-Morgan Stanley team
The leaders Bowersock Capital Partners were academia-bound before discovering wealth management was their true calling.
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Vanguard trounces BlackRock for ETF flows in volatile first half
A “distribution bump” from the commission-free trading trend that took hold late last year may be behind the surge, analysts say.
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UBS loses $1.6B team to Wells Fargo FiNet
Some of the defecting advisors had been long-time advisors at their former wirehouse before making the move.
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Financial services industry struggles to emerge from lockdown
Almost half of employers are already opening up their offices again — but some challenges lie ahead.
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Ex-Franklin Templeton staffer who called cops on Black bird watcher charged
Amy Cooper, who was fired from her job as head of insurance investment, could face up to one year in jail, three years of probation or a $1,000 fine.
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Fallen hedge fund’s head among asset managers getting PPP relief
Jacob Gottlieb, whose $8 billion fund shuttered amid an insider trading scandal two years ago, received a $150,000 to $350,000 loan for his new shop.
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Steward Partners, Dynasty among 1,000+ wealth firms that got PPP loans
Some advisors have questioned the ethics of taking the loans, intended to help small businesses keep their employees on payroll.
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IBD Elite 2020: Firms with the highest percentage of women advisors
The largest percentage of women advisors for any single firm rose from the previous year, but the available numbers paint a stark picture.
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Procrastinating taxpayers have two weeks to claim $1.5B
“Time is quickly running out for these taxpayers," IRS Commissioner Chuck Rettig said in a statement.
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FINRA is raising fees — but which ones?
The price hikes would come as early as 2022, and follow a budget deficit in 2019.
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Despite pandemic, some CFPs are ‘awash’ in CE credits. Here’s why.
“If anything, this environment has actually pushed people to complete their credits,” says John Loper, managing director of professional practice for the CFP Board.
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Vanguard and State Street resist hot new ETF craze
Some of the industry’s biggest players are taking a wait-and-see approach as active, non-transparent funds take their crucial first steps.
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With Brinker Capital deal, Orion gets new firepower to take on Envestnet
Instead of a sale, Orion’s private equity backers are reinvesting to help grow the company’s presence in the TAMP marketplace.
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What CARES Act withdrawals could mean for client retirement savings
Those who don’t pay them back could lose up to 45% of their potential savings.
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Einhorn’s Greenlight hedge funds lose 5% in June, extending drop
The manager is still recovering from losses that started in 2015, when his main fund fell 20%, and deepened with a record 34% decline three years later.
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Fed becomes a top holder of the world’s biggest credit ETFs
The central bank is now the third largest holder of the $54 billion iShares iBoxx $ Investment Grade Corporate Bond ETF (LQD).
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Senate passes extension of Paycheck Protection Program
The extension to Aug. 8 was offered by Sen. Ben Cardin, a Maryland Democrat, and cleared the chamber by unanimous consent. The House has yet to take up the bill but could pass it as soon as Tuesday night.
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Tough questions for IBDs
This year’s survey results reveal challenges for independent broker-dealers and their future growth.
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