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 "
-
After affiliating with Advisor Group following its acquisition, Signature Estate & Investment Advisors aims to offer its TAMP across the network.
July 29 -
The IBD network joins asset managers and other companies developing new methods to display how the products integrate into client portfolios.
July 26 -
Dan Arnold deployed a five-pronged argument for why consolidation is a recruiting boon for the No. 1 IBD.
July 26 -
Integrated Partners added a father-son team, surpassing its recruited client assets from the previous year.
July 24 -
Commonwealth and Edward Jones remain the top-rated firms — J.D. Power notes they share a few characteristics in common.
July 23 -
Advisors say they’re allocating assets based on client objectives, but they likely are not, according to SEI’s survey.
July 22 -
Wealth Enhancement Group has also grown organically by more than $1 billion each of the past two years.
July 18 -
James Gorman dismissed any speculation after the unit posted record revenue and pretax profit in the second quarter.
July 18 -
The asset management and software giants plan to start the rollout of their 401(k) tool and app later this year.
July 17 -
With 7 million accounts and more than $400 billion in assets, Karl Roessner’s firm can be selective as it expands into wealth management.
July 16 -
Independent Advisor Alliance also started a robo advisor under Betterment for Advisors after adding more than $2 billion in assets over the past 12 months.
July 15 -
Summit Brokerage Services will fold 450 advisors into one of the 41 OSJ regions under Cetera Advisor Networks this summer.
July 12 -
Two perennial champions retained their top ranks in 2019 — but the aging demographic poses challenges for all firms, according to J.D. Power.
July 10 -
A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.
July 9 -
Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.
July 5 -
Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.
July 3 -
The firm's chief has led growth to an expected $1 billion in revenue this year from $7 million in 1998 when she joined. It's a matter of embracing the sector's evolution, she says.
July 1 -
The combined AUM of the top 10 companies has soared by 60% to more than $770 billion over the past five years.
July 1 -
A PKS rep allegedly sold $190 million worth of non-traded REITs and BDCs without disclosing the commissions.
June 28 -
The No. 1 independent broker-dealer failed to properly register more than 650 reps as agents, the prominent state regulator says.
June 26
