News

The power of information

I won’t pretend to have solutions to the rampant polarization in our country, but knowledge improves discourse, and discourse leads to solutions

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Battle of the business models

RIAs keep gaining, while small broker-dealers are feeling increased pressure from the pandemic as well as the need to comply with Reg BI

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Why I lost the same client twice ... and it gave me joy

It would have been easy to poach this client in her moment of anxiety and weakness.

The Rise of Direct Indexing in a Zero Commission World

A new world of zero commission trading and direct indexing.

Junk bonds benefit from Fed support

The Fed reported late last month that it had purchased some $1.3 billion of exchange-traded funds, including $223 million of high-yield bond ETFs

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LPL Expands Executive Bench As It Builds Out New Channels

The firm has added talent over the last several months to build out its employee channel, premium affiliation model and advisor training program.

Bridging the Retirement Gap

Annuities Can Help Address Many Retirement Challenges

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.