Woes of a Fee-Based Life Insurance Consultant
Why are policy owners so reluctant to pay for these services?
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The DC Door Opens for Private Equity
DOL outlines the conditions and due diligence processes that plan fiduciaries should consider when evaluating PE as part of professionally managed asset allocation portfolio
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DeVoe: COVID-19 Reveals Limitations of Smaller Players, Not Weakness in RIA M&A
Dave DeVoe, founder of San Francisco-based research outfit and investment bank DeVoe & Co., indicates RIA M&A continues to steamroll ahead, despite dropoff from smaller players.
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SEC Charges Virginia Advisor With Stealing $6 Million From Clients
Over the span of 12 years, Michael Barry Carter transferred about $6 million from brokerage and elderly investment advisory clients into his own bank account, the SEC claims.
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Pershing Hires Emily Schlosser as Jim Crowley's Replacement as COO
Emily Schlosser leaves Goldman Sachs to join BNY Mellon Pershing as its new COO, succeeding Jim Crowley, who was promoted to CEO a year ago.
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Advisor Tyrone Ross Develops 'Learn to Money' Video Series
Ross promises to use 'dope graphics' and jargon-free language in a video series he hopes will be integrated into classroom curricula across the country.
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Broker Chased High Commissions From Illiquid REITS: Galvin
The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.
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Cure for Branch Exams During COVID-19: A Hybrid Approach
A hybrid examination would a viable, if temporary, approach to comply with regulations while protecting the health and safety of examiners, branch employees and advisors.
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Father-Son Team Departs Morgan Stanley to Form ShoreHaven Wealth Partners
Advisors Larry Durso, his son Michael and Michael Lombardi have partnered with Dynasty Financial Partners to launch their own RIA.
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Editor's Letter: Diversity and Inclusion in Wealth Management
Fables of the Reconstruction
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This RIA’s Niche: Helping the Wrongfully Convicted Build Secure Financial Futures
A&O Advisors helps exonerees who have won substantial civil settlements for the injustices they suffered build a financially secure future after years in prison.
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The Dixmoor Five
In 1991, five Black teens were falsely convicted of raping and murdering a 14-year-old girl. In 2011, their convictions were vacated, and they reached a wrongful conviction settlement with the state of Illinois for $40 million in 2014.
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Elk River Expands into Omaha with $230 Million Advisory Team
The addition of David Carroll and Jon Springer is the third team to join the firm since Chris Freimuth and his team left BOK Financial Wealth Group to launch it in March.
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Help Clients Visualize What You’ve Told Them for Years
Clients need guidance that is simple, practical, and intuitive.
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SEC Charges Head of Former RIA With Running Ponzi Scheme
The SEC had previously revoked International Investment Group's registration as an investment advisor, and also obtained a final judgment requiring the firm to pay $35 million in disgorgement and prejudgment interest.
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IRS Issues New Regs Limiting Taxation of Foreign Income
U.S. shareholders of controlled foreign corporations can defer liability on their global intangible low-taxed income.
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Don’t Let Financial Planning Internships Die
The technology to reinvent internships and interaction with firms is there, but it is on the practitioners, firms and academic community to make the possibilities a reality, argues FPA’s 2020 President Martin Seay.
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