News

Matrix Trust Co. sued over alleged lack of 401(k) fee disclosure

The Broadridge affiliate has not filed notices required by the DOL, plaintiffs in a class-action lawsuit claim

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Female trio managing $280 million at UBS moves to Alex. Brown

The veteran advisers, natives of Venezuela, are based in Miami

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UBS’ private bank closure raises questions for elite advisers

Compensation and control over the client relationship are two key issues surrounding the shut down

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Miami Advisory Team Joins Raymond James' Alex. Brown From UBS

The all-women team has about $280 million in managed assets.

What to say when clients want to talk politics

Recognizing the elephant — and donkey — in the room can lead to a broader conversation about long-term investing

When clients want to talk politics

Recognizing the elephant — and donkey — in the room can lead to a broader conversation about long-term investing

DOL urged to address conflicts in pooled employer plans

But there is little consensus on how to do so, according to comment letters submitted this week to the regulator

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Amazon Begins Selling Insurance

The move marks a major entry into financial services.

Can I Afford to Be Generous During a Pandemic?

Yes, you can support causes and communities you care about without falling into a personal financial crisis.

Poker Skills Can Make Investing Less Like Gambling

A writer explores how playing cards taught her to discipline her thinking and focus more on process than outcomes.

Calpers takes aim at CEO pay, questions shareholder behavior

In the first half of the year, the country’s largest pension system cast votes against pay plans at 1,165 firms, or 52% of portfolio companies that held votes.

Joe Duran on Year One With Goldman Sachs Personal Financial Management

Joe Duran, managing partner and head of Goldman Sachs Personal Financial Management, answers questions on life and work inside Goldman Sachs.

Six Tips for Creating a Letter of Wishes

Communicating the “why” of an estate plan.

Assembling the range of skills needed to run an advisory firm

Advisers need to do what they do, and find partners who will mitigate their weaknesses

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Retirement income fintech lands $2.3 million funding round

Timeline will use the cash influx to enhance the API technology behind it’s calculation engine

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DOL's proposed ESG ban 'out of step' with advisors: Morningstar

The current proposal “would lead to worse outcomes for plan participants as plan sponsors shied away from assessing ESG risks in selecting investments,” the research firm says.

UBS to close U.S. private bank to simplify operations

The move follows efforts to reduce expenses in the company’s global wealth management business.

Advisor to Olympic Athletes on Games' Postponement

Advisor and former Olympian Lauryn Williams on the financial impact athletes face following the 2020 Olympics' postponement.

RIA in a Box to expand mobile offerings after app launch

The app is available for Android and iOS users

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Court upholding $6 million award to former Credit Suisse brokers could bolster similar clawbacks

Arbitration lawyer says decision sends signal to ‘Wall Street bullies’; Credit Suisse points to wins in other cases

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