Wealth Management Magazine
Adviser First Partners Blog
The $217 billion alternative asset manager reported its biggest loss as a public company in the first quarter.
Why are policy owners so reluctant to pay for these services?
Hint: It has nothing to do with money.
Firms make it easy to stay put for the entirety of an adviser’s career, yet many advisers are feeling uncomfortable with that notion — worrying that what got them 'here' may not get them 'there'
The post Five questions wirehouse advisers need to ask themselves appeared first on InvestmentNews.
DOL outlines the conditions and due diligence processes that plan fiduciaries should consider when evaluating PE as part of professionally managed asset allocation portfolio
Second-quarter earnings show the bank's wealth management profit in Asia helped offset a 37% drop in profit year-on-year for the business in the Americas
The post UBS may resume share buybacks appeared first on InvestmentNews.
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.
The bank allegedly allocated bonds intended for retail customers to 'flippers' who resold them to broker-dealers for profit
The post UBS slapped with $10 million fine for SEC violations appeared first on InvestmentNews.
Michael Barry Carter pleads guilty in a parallel criminal action in Maryland federal court
The post SEC charges former Morgan Stanley rep with stealing $6 million from clients appeared first on InvestmentNews.
The COVID-19 pandemic has infected the service’s annual list of top tax scams.
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.
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.
The group had been at their previous firm for 14 years.
Sen. Patty Murray recently requested a session on DOL’s investment advice measure
The post Former DOL officials say agency historically grants hearings on regulatory proposals appeared first on InvestmentNews.
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.
The Secretary of the Commonwealth of Massachusetts takes another swipe at sales of high-priced products
The post Ex-Next Financial rep charged by Galvin with overselling REITs appeared first on InvestmentNews.
The new hire joins a fast-growing complex in Northern California.
The bank will also help develop a global accounting standard financial institutions can use to measure their impact on the climate
The post Morgan Stanley to report on climate change impact of loans appeared first on InvestmentNews.
A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.
The list shows how firms of all sizes face a pivotal balancing act in seeking to recruit and retain advisors.
We're here to help. Send us an email or call us at +1 (855) 502-8919. Please feel free to contact our experts.
A donation will be made by Adviser First Partners to a Veterans organization on behalf of all financial professionals and firms that register each month
53 Assembly Dr., Unit 60Mendon, NY 14506
Phone: +1 (855) 502-8919 Email: email@example.com Fax: +1 (585) 321-5624
© 2022 Adviser First Partners. All Rights Reserved.
Web Design by eLink Design, Inc., a Kentucky Web Design company