UBS adds to wealth management ranks
Connecticut team joins with $700 million.
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Small town ‘mom and pop’ firm switches $220M practice to LPL Financial
Formerly with Commonwealth, the multigenerational team includes three advisors.
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Morgan Stanley International ex-chairman sues for over $15 million in unpaid fees
Legal battle launched over retainer, success fees.
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JPMorgan’s struggling ETFs show crisis in demand for do-good funds
The firm announced Thursday that it will shutter two socially conscious exchange-traded funds by year-end.
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Money floods into active ETFs that look somewhat passive
While a record $100 billion has flowed into actively managed exchange-traded funds this year, the funds getting the bond aren’t traditional bond and stock pickers.
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DAFs are the gift that keeps on giving
Donor-advised funds offer many benefits, including tax deductions and the potential for asset growth.
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Politics and rate hikes remain key concerns of US investors as bearishness rises
Charles Schwab survey reveals sectors that traders are most bullish about.
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Wealthfront reaches $50B AUM milestone, 2023 revenue growth near 140%
Automation and a focus on delivering value to clients are secret to success.
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Stocks gain, bond yields fall as rate-cut bets intensify
Markets are becoming more convinced the Fed will cut rates in 2024.
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Treasuries saw first net outflows in two years, official data reveals
Foreign investors sold $1.7B more than they bought in September.
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Retirement plan contributions slipped in 2022, survey shows
Participation in plans remains strong, even if it's down from record-high levels seen in recent years, according to a Plan Sponsor Council of America survey.
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Big banks face larger burden from SVB collapse
FDIC deposit insurance fund paid out around $16B.
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Europe might be getting its own SEC
ECB president wants to give regional securities regulator similar powers to the US body.
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Bitcoin derivatives market evokes memories of 2021 surge
Optimism in the cryptocurrency is rising amid hopes of spot ETFs.
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RMD data, Schwab communications roil indie advisors post-TD
Advisors who custodied at TD Ameritrade are adjusting to life under Schwab.
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TAMP is ‘a misused term’
Adhesion Wealth’s Barrett Ayer highlights problems related to TAMPs – and a solution – in advance of RIA Labs webinar.
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B. Riley retail brokers exposed to deal that’s under pressure
'The brokers are besides themselves, especially the independent brokers,' one source says.
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Morgan Stanley to pay 6 states $6.5M for failing to protect customer data
About 15 million clients' details were exposed after information was left on decommissioned computers.
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Edelman purchases $500M Massachusetts RIA
The acquisition is Edelman’s fifth over the last year.
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