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The firm allegedly didn't disclose its parent company paid a teacher union entity $10,000 a month “for its exclusive endorsement” as its preferred financial services partner, according to the regulator.
July 29
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An all-woman team joined the firm in Miami while a branch manager is installed in a new Northern California office.
July 29
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Despite growing to about $1.1 trillion in AUM, senior executives made a series of bets to keep pace in a changing industry that have yet to pay off.
July 29
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Trading under the ticker EFIV, the fund will exclude companies involved with tobacco-related products and weapons.
July 29
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The majority of advisors don’t understand how much of a positive difference they can make for their clients, says advisor Deborah Fox.
July 28
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Procyon Partners, which caters to UHNW clients and retirement plans, had a rocky separation from the same former firm.
July 28
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An iShares ETF investing in companies it says has “positive environmental, social and governance characteristics” has more than tripled gains of the S&P 500.
July 28
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Perceptions on relationships, health, and lifestyle have also changed.
July 28
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The asset manager’s culture is allegedly one in which women's careers are destined to stall and portfolio-manager ranks are reserved for white men, the lawsuit claims.
July 28
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If approved, the firm would be able to issue its own ETFs, although they haven’t registered any individual funds yet.
July 28
