News

Advisers address clients’ market jitters as election anxiety runs high

No matter who wins, advisers note that markets usually go up

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Texas revokes license of rep for Woodbridge Wealth sales

Kim Diane Butler breached fiduciary duty by receiving $300,000 in commissions on the sales

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Docupace Appoints New CMO

The digital operations software developer is adding Ryan George to its c-suite, as the firm's new Chief Marketing Officer.

401(k)s were considering annuities — then COVID-19 hit

The pandemic has shifted plan sponsors' priorities, according to a survey from T. Rowe Price

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SEC Charges Connecticut Advisor With Defrauding Retirees

Hai Khoa Dang lost nearly all of a retired couple's $2.2 million in retirement savings, according to a complaint filed by the SEC.

SEI Wealth Platform Adds Integration With RIA in a Box

With a number of new compliance measures hitting this year, SEI Wealth Platform is adding an integration with RIA in a Box.

M1 Finance Doubles Assets In Six Months

The fintech platform surpassed $2 billion in AUM, after hitting the $1 billion threshold in February.

Morgan Stanley’s Rich Clients Shift to Hedge Funds for Defense

Investing is getting more complicated as the market turns volatile, benefiting an industry that fell out of favor in recent years.

UBS Pushing Wealth Clients to Choose Sustainable Investing First

While traditional investments will remain the best option in some circumstances, a 100% sustainable portfolio can deliver similar or better returns, UBS said.

Impact of raising the Social Security taxable wage base

Taxing more earnings would improve the finances of the Social Security trust fund; it might also boost benefits

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Diversity and inclusion success starts with a focus on inclusion

The effort shouldn't be about checking boxes and adding a minority group member to the corporate board

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New Jersey Team Aligns With LPL Strategic Wealth Services

The newly-established River's Edge Wealth Partners, with about $500 million in client assets, is led by advisors joining LPL from Wells Fargo.

Q&A: WealthConductor CEO Sheryl O’Connor

The fintech's leader talks retirement savings software in the age of COVID-19 and what the industry lacks in gender equality

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Retirement accounts at ‘serious risk’ as COVID-19 spurs bankruptcies

To protect client nest eggs, advisors must know which savings vehicles are protected — and they’re not all created equal.

Wells Fargo adviser managing $500 million goes indie with LPL

Anthony Frigoletto forms River’s Edge Wealth Partners in Red Bank, New Jersey

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CAPTRUST Adds Plante Moran's Retirement Plan Practice Team

CAPTRUST boosted its already large retirement plan business with the addition of RIA Plante Moran Financial Advisors' retirement practice, a team boasting $6.27 billion in assets under advisement.

Michael Kitces' #FASuccess Podcast: Carving Your Own Career Path with Tiffany Charles

Destiny Capital's Tiffany Charles describes how she went from executive assistant to chief growth officer.

Morgan Stanley’s wealthiest clients shift to hedge funds for defense

“Everyone is looking ahead to the elections and what tax policy could look like in various administrations," says Ben Huneke, head of investment solutions in the firm's wealth management division.

Citi names Jane Fraser CEO

She will succeed Michael Corbat and become the first woman to run a major global bank

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UBS suggests wealth clients opt for sustainable investing

Firm says ESG portfolio can provide similar or better results than traditional investments

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