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Charles Schwab’s Zero-Fee Plan Pushes Assets to Record $4 Trillion

Jan 17, 2020

Form CRS' Brevity Brings New Challenge for Firms

Jan 16, 2020

First Republic Adds Florida Wealth Managers from J.P. Morgan Securities

Jan 16, 2020

Miracle Mile Advisors Launches Institutional Division With Payden & Rygel Team

Jan 16, 2020

Debunking the 'Knowledge Is Power' Myth

Jan 16, 2020

Featured

The Slow Demise of Mutual Funds

Dec 10, 2019

Ten Best Business Books of 2019 for Financial Advisors

Nov 14, 2019

The Top Colleges for Financial Planning

Oct 03, 2019

The 10 Most and 10 Least Valuable College Majors

Aug 28, 2019

Highlights

FINRA Names Jessica Hopper Head of Enforcement

Jan 17, 2020

Hopper has acted as the Enforcement Department's acting head since Susan Schroeder departed FINRA in September.

Blucora CEO John Clendening Steps Down

Jan 17, 2020

Executives assure advisors the move won’t affect the progress of the wealth management business and its recently...

SEC Commissioner Robert J. Jackson Jr. (L) and Securities and Exchange Commission Chairman Jay Clayton

SEC’S Jackson Leaving Next Month to Return to Teaching at NYU

Jan 17, 2020

Since joining the SEC in January 2018, Jackson has often led opposition to policies pushed by Chairman Jay Clayton.

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First Republic Adds Florida Wealth Managers from J.P. Morgan Securities

Jan 16, 2020

The team will work with individuals, families, nonprofits and foundations on investment management and retirement planning strategies, the bank announced.

Miracle Mile Advisors Launches Institutional Division With Payden & Rygel Team

Jan 16, 2020

LA-headquartered RIA creates a fiduciary institutional consulting team.

Stuart Heckman Named Academic Editor for Journal of Financial Planning

Jan 15, 2020

Recipient of the FPA's Best New Research award, Heckman has been widely published in industry journals.

SEC Comes Under Fire for Lack of Diversity on Advisory Committees

Jan 15, 2020

The SEC has 79 advisory committee members, but only three of them are black and one is Latino, according to a review by the House Financial Services Committee.

RIA Exec Martine Lellis Jumps to Mercer Advisors

Jan 14, 2020

She'll be the fifth female executive to join in the past two years and will serve as chief talent and business solutions officer.

Citizens Bank-Owned RIA Clarfeld Names Rick Suarez New CEO

Jan 13, 2020

Rick Suarez will serve as CEO of Clarfeld, a $3.9 billion RIA acquired by Citizens Bank last year.

Dallas B/D Hilltop Securities Names New Head of Wealth Management

Jan 10, 2020

Hilltop Securities, the Dallas-based broker/dealer, has promoted John R. Muschalek to head of wealth management.

Trump Asks: 'How Are Your 409K’s Doing?' and FinTwits Respond

Jan 09, 2020

The #FinTwit community had a field day when President Trump mistakenly tweeted about '409K' plans.

Industry Mourns the Passing of Longtime RIA Advocate David Tittsworth

Jan 09, 2020

His death on Wednesday marked a great loss for the RIA industry; he arguably had the biggest impact on who regulates SEC-registered advisors.

New York Wealth Manager to Plead Guilty in ‘Wild’ Spending Case of Fraud

Jan 07, 2020

Prosectors claim that Richard T. Diver misused his position as manager of M&R Capital Management's payroll and billing to divert about $6 million to his own account.

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