Organization Root Tag

The agency is seeking additional information from the firms as well as competitors and advisors.

The unit was awarded a bonus pool that’s 5%-10% larger than last year, reflecting increased profits and assets, people familiar with the matter say.

Just 15% have incorporated ESG in their strategies, according to a report.

“It’s like nuclear fallout. The bomb didn’t drop on you but you were within five miles of it," said Alan Johnson, managing director of compensation consultant Johnson Associates.

Advisors can use the information to build custom, values-based portfolios for their clients.

The settlement would apply to advisors who participated in the firm’s deferred-compensation plan from February 2011 through January 2020.

They’re more expensive than their passive peers. But did they beat their benchmarks?

Faced with the retention risk from the RIA-only channel, firms are trying to alter their company cultures and questioning traditional approaches.

A flight to safety that saw funds in short-term bonds and utilities add cash as coronavirus dominated headlines has given way to a vigorous rally.

I don't need outside credentials to bolster my credibility — I have my own.

Whether it’s AI managing regulations or nextgen tools acting as data scientists, executives say tech will change how asset managers work.

Edward E. Matthes allegedly renovated his home, paid child support and bought luxury items with client money.

The investing world is rushing to cater people who want to make a difference with their money but are unwilling to accept higher volatility or fees.

The recent moves display the stakes of the competitive recruiting fight, which has led to firms like AmeriFlex seeking to give advisors greater flexibility and resources.

“We are embracing the bank model,” Chief Financial Officer Stephen Scherr said.

United Capital has a new name, but key challenges remain for its new owner.