Practice

The all-woman unit will operate from two locations.

The promotions positions Jim’s son Nathaniel Simons to assume his father’s role as chairman under a succession plan that began about a decade ago.

In the first episode of Financial Planning's new podcast series, Tobias Salinger talks with advisor Dasarte Yarnway about how he “fought and clawed” his way into the profession and discusses the ambitious goals he’s working toward for his RIA, as well as the industry.

Many pre-retirees leave the workforce sooner than anticipated as a result of various factors, such as job loss and illness.

FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.

“It’s no longer about coming to market and getting funding with some kind of novel pitch and seeing if it sticks,” says an industry analyst.

The arbitrators based their ruling “on the defamatory nature of the information.”

The custodian has made three big announcements. The connection between the three may not be obvious, but together, they indicate what I think could be a brilliant strategy.

Retirees may benefit from moving money to various locations that offer better savings rates and returns.

With its appointment of Martine Lellis, one of the largest and most-acquisitive RIAs ups its leadership ranks to almost 40% women.