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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Collectively, the brokers generated $167 million in annual production and oversaw $37 billion in combined client assets.
January 26 -
These elite producers in some cases operate far from Wall Street, even as they work for well-known wealth managers such as UBS, Merrill Lynch and Ameriprise.
January 25 -
Arete Wealth’s niche focus on alts for HNW and UHNW clients has given it a strong foothold in a fractured sector, experts say.
January 22 -
SA Stone Wealth Management representative Gregory Frank Estes had already registered as a sex offender after a 2002 conviction, records show.
January 21 -
Eastern Michigan’s program aims to connect people with disabilities and financial advisors to research and industry resources.
January 20 -
The 25-year industry veteran of four wealth managers and a trust company faced a charge of unlawful entry on public property.
January 15 -
The founding partners of the 300-advisor OSJ will remain in their current roles for three years under the same structure as before the deal.
January 13 -
Nearly three decades after launching their practice, the two founders say they’re looking forward to spending more time with clients.
January 13 -
Advisors may sometimes overlook clients with special needs, despite the size of the community and available tools like ABLE Accounts.
January 12 -
Whitnell & Co. changed hands in a deal with a regional bank that also struck a strategic partnership with the wealth manager.
January 11 -
The combination of wealth management with supporting sectors attracted investors to two major deals.
January 7 -
The IBD completed a stellar recruiting year by adding a team led by a 30-year veteran advisor.
January 6 -
The firm’s use of third-party compliance vendors came under scrutiny after an ex-rep pleaded guilty to bilking clients out of $5 million.
January 5 -
The private equity-backed RIA agreed to purchase its first firm of the year after being one of the most active acquirers in 2020.
January 4 -
In the first wave of cases under the regulator’s self-reporting initiative, it garnered more than $2.7 million in payments of restitution plus interest.
December 30 -
SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.
December 30 -
Just like the industries that they cover, the lack of Black representation among news outlets acts as a barrier against understanding and eliminating systemic racism.
December 28 -
The wealth manager whose parent firm also owns an insurer and asset manager settled its third case involving the same time period.
December 23 -
The allegations involving 12b-1 fees, cash sweeps and commissions also include violations of best execution rules.
December 23 -
With an eye on pathways to fee-only practices and away from an “eat what you kill” philosophy, four planners aim to usher in a more diverse profession.
December 22
