Toby is a veteran journalist with more than a dozen years of experience in the field who joined Financial Planning in 2017 after prior tenures with the New York Daily News, Commercial Observer and City Limits. He earned an undergraduate degree in the humanities from the University of Texas at Austin and a master's degree in journalism from the Craig Newmark Graduate School of Journalism at the City University of New York. He has won a dozen business journalism awards during his time with Financial Planning, including those received for the 2020 podcast series "
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Bill and Chris Hamm admit it’s been something of a rocky start, but they say IFP is saving advisors and clients money compared to a typical wealth manager.
June 15 -
CUNA Mutual Group’s wealth manager of 550 financial advisors will almost certainly represent the largest recruiting move in the sector next year.
June 14 -
Two representatives in a New Jersey office made lewd comments and created a hostile work environment, the former employee says.
June 11 -
The Dallas-based hybrid RIA has more than 100 reps, and, if they follow the chief’s exit, it would be the the No. 1 IBD’s largest loss since 2019.
June 11 -
The case against Centaurus Financial comes after the industry and consumer advocates decried the previous administration’s approach for different reasons.
June 10 -
The PE-backed hybrid RIA is acquiring a practice with nine financial advisors managing $1.46 billion in client assets.
June 9 -
A state treasurer’s program in collaboration with the Ford Foundation has attracted 18 firms including UBS, BlackRock, Morgan Stanley, Citi and Goldman Sachs.
June 8 -
The trio of advisors leaving Commonwealth for the regional firm are its largest “reverse breakaways” ever.
June 7 -
The judge declined the barred rep’s request for sentence reduction based on his “severe” bipolar disorder and restitution efforts.
June 4 -
The barred ex-rep funneled clients’ money into a shell company he falsely called a sub advisor, according to investigators.
June 4 -
The barred ex-Mutual of Omaha rep stole from 27 mostly older fellow members of his church, YMCA and local business organizations, investigators say.
June 4 -
Concurrent is catering to breakaway teams assessing their options after back-office frustrations during the coronavirus, co-founder Mike Hlavek says.
June 3 -
The private equity-backed wealth and 401(k) manager drew away an ex-Hightower team as part of its surging growth in the past year.
June 3 -
Four advisors launched a program for RIAs this summer with industry-changing potential.
June 2 -
With class actions up for appeal and a daunting process facing some ex-servicemembers, the Biden administration faces tests of its commitment to equality.
June 1 -
A research and methodology company with a star-studded board launched the product with an eye toward advisors, retail clients and institutional investors.
June 1 -
The firm serves UHNW clients, and the advisors embarked on a search in order to enable clients to have more access to private investments.
May 27 -
Advisors with disciplinary histories who keep other registrations after leaving FINRA BrokerCheck are much more likely to commit infractions, researchers say.
May 25 -
Although they praise certain changes in a rule up for SEC approval, client attorneys and researchers say the process has further flaws.
May 24 -
With technology upgrades and the hiring of former TD Ameritrade recruiters, the No. 1 IBD eyes further expansion in the RIA channel.
May 21
