Corporate governance

Pinto has taken a more active role overseeing operations firm-wide after being named co-president and co-COO in 2018.

As independent wealth managers pitch potential recruits on their scale, the IBD network built tools and hired “growth officers” to work with practices.

The move is part of the bank's effort to close the racial wealth gap in the United States.

FP’s annual list recognizes the accomplishments of an elite cohort of young wirehouse and regional advisors.

Here’s what one advisory firm found were the most common financial planning questions among a historically underserved group.

A firm with no website and a generic name has served internet pioneers Pierre Omidyar and Jerry Yang for decades.

New products constructed on more stringent ESG criteria than the so-called greenwashers often can’t be accessed through large wealth managers.

Kuttin Wealth Management is four years into an ambitious strategy to build offices nationwide using the model of its founder’s practice.

MML Investors Services allegedly breached its fiduciary duty in the same way that the regulator has alleged that more than 100 other firms have in recent years.

Penn Mutual-owned Hornor, Townsend & Kent has completed an executive shakeup after its advisor headcount fell by 10% last year.

A 3-step process can get the planner in touch with their professional and personal origin stories before mastering social media technology.

Concurrent is having its best recruiting year ever, and the firm’s new managing director of business development aims to boost its expansion even more.

The longtime director of investor protection at the Consumer Federation of America could signal an overhaul of Reg BI under the Biden administration.

Despite smaller growth amid the coronavirus last year, FP’s 36th annual survey revealed the significant level of business raked in by 46 wealth managers.

The delicate balance between the No. 1 IBD and its ‘critical clients’ is evolving as the industry changes.

Nicholas Spagnoletti, 52, had “images and videos depicting the sexual exploitation and/or abuse of a minor” on his phone, investigators say.

71 companies participate in corporate bonds issued by private prison firms, Adasina Social Capital found.

Steven Black was a board member of BNY Mellon when Wells CEO Charlie Scharf led the trust bank. He will become Wells Fargo’s fifth chairman in five years.

With such a massive number of deals and tens of billions of dollars in assets changing hands, even experts sometimes struggle to keep up.

Executives from Alliance Bernstein, Edward Jones and Kasisto discuss best practices and ways to improve the client experience.