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Retirement worries rise most for women during pandemic

Already facing greater retirement-security challenges, women said the crisis has put them farther behind, according to a recent survey

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Finra’s fine proceeds to upgrade technology, track trading, educate investors

The self-regulator used $39.5 million in fines plus another $31.6 million from reserves for the initiatives

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The Business Exit Strategy: Valuation

Business owners will need to be nimble, flexible and willing to pivot.

Court says fraud will cost Navellier almost $38 million

The SEC case alleged the firm and its founder knew, but didn’t tell, about misrepresentations of fund performance

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Court says fraud will cost Navellier more than $31 million

The SEC case alleged the firm and its founder knew, but didn’t tell, about misrepresentations of fund performance

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Ten Business Lessons from Famous Novels

Sometimes the most powerful business lessons are embedded in novels.

Getting creative with client events in challenging times

Our newly independent practice turned the shift to virtual into a learning experience we never would have expected.

Finra adds human resources officer

Rainia Washington becomes the lone African-American executive at the regulator

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Goldman executive has advice for his white colleagues

Frederick Baba, a managing director at Goldman Sachs, recalls a litany of black deaths and the protests that followed

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Team managing $285 million switches to Raymond James from Waddell & Reed

The trio of advisers operates as PDX Wealth Management in Lake Oswego, Ore.

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How BNY Mellon will entice Pershing RIAs to use its ETFs

The firm's new suite of eight low-cost ETFs include two funds that are no-fee.

Is Anything Working to Improve Racial Diversity in Wealth Management?

The industry has swiftly issued statements of support for the protesters this week, and promises to "do better" for all. Beyond words, what initiatives in wealth management are actually moving the needle?

Fidelity Magellan echoes glory days by trouncing benchmark

Wild market swings have given many active managers a rare respite after a decade-long battle against the rise of passive investing.

WealthTech Winners Circle Podcast: Tech Assisting Advisors Now More Than Ever

Envestnet's Stuart DePina discusses how AI enables advisors to stay in touch with their clients.

RBC Adds Two Wirehouse Teams in the Northeast

The brokerage has recruited a team from UBS, with $650 million in AUM, and one from Merrill Lynch, with $220 million, this week.

COVID-19 to Take Hybrid Robo Advisors Mainstream

CB Insights says the recent market volatility shows that investors still want a human advisor relationship.

Encourage Clients to Embrace Family History

Portraits, photography and visual art are powerful tools.

I am a black woman advisor. Am I valued by this industry?

It's been hard for me to find mentors, and I've stopped attending most industry conferences.

An Operational Path Forward for Asset Managers

Hold on to the lessons of the pandemic as the industry tries to go back to "normal."

Editor's Letter: Do RIAs Need Corporate Welfare?

The argument some RIAs are making—that the PPP loan is a business loan, no different than any other, and comes with risk, and is not bailout money—just doesn't wash.