Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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Kevin Keller prides himself on the growing public awareness of the CFP mark while warning that his successor is likely to face increased competition from other groups.
February 23 -
Also this week, LPL pulls a big team from Raymond James, Merrill from Morgan Stanley and Dynasty from CIBC.
February 21 -
The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.
February 21 -
Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.
February 20 -
In a legal response, LPL contends it has been sued at least seven times in the past year after recruiting advisors from industry rival Ameriprise.
February 19 -
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
February 18 -
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
February 18 -
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
February 18 -
The RIA aggregators Prime Capital and Corient also made their marks with big acquisitions.
February 14 -
Citi's head of wealth said the firm is already working with a quarter of the billionaires in the world through its private bank. Now it just needs them to entrust it with managing more of their money.
February 12 -
The next CEO of Raymond James talks about how private equity ownership has made for some difficult marriages in wealth management, while a Morgan Stanley exec says asset outflows were unusually high last year.
February 11 -
The tide is beginning to shift toward the wirehouse in its contentions that deferred pay is not protected by federal retirement law.
February 10 -
Nearly 80% of the respondents to a recent advisor survey conducted by the asset management giant Blackstone said they plan to recommend more alternative investments in 2025.
February 10 -
Mercer Global Advisors and EP Wealth also extend their reach into the Nashville, Tennessee area with RIA acquisitions.
February 7 -
Atop the standard-setting organization since 2007, Kevin Keller has seen its ranks of certification holders nearly double and has overseen work to bring more diversity to the profession.
February 6 -
Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.
February 6 -
Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.
February 5 -
Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.
February 5 -
The Zurich-based bank is in the midst of overhauling its U.S. wealth business with a greater priority on mass affluent clients and lower costs.
February 4 -
JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.
February 3
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