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Conrad Siegel Investment Advisors's parent company serves defined benefit and 401(K) plans. Executives at those client firms became the clients for the advisory spinoff.
February 6 -
The recruit takes on a new role as complex manager at the firms latest office in Birmingham, Ala.
February 6 -
Financial advisors often act as general managers for their clients, assembling a team of attorneys, trust companies and others to develop and maintain estate plans. Here are a few questions you should ask of your would-be teammates.
February 6
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Two veteran wirehouse advisors joined regional broker-dealer Wunderlich.
February 6 -
Merrill Lynch wants to position its wealth managers to better help their clients navigate the hurdles of old age.
February 5
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Two UBS advisors managing $170 million in assets joined Baird.
February 5 -
A proposed cap would impose a $3.4 million ceiling on retirement plans, although details are still scarce; Plus, mortgage debt threatens boomers' retirement.
February 5 -
Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.
February 4 -
Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.
February 4
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"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.
February 4 -
The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.
February 4 -
Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.
February 4
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A well thought-out and rehearsed response plan can be the difference between successfully containing cyberthreats and disaster, says Stephen Russell of PricewaterhouseCoopers.
February 4 -
The SEC has promoted former deputy director David Grim as acting director of its division of investment management.
February 4 -
Many clients think their workplace retirement plan is not worth it if there is no employer match contribution; Plus, how retirement plans can underestimate inflation
February 4 -
According to a new study, only 46% of new retirees are confident that they can afford the lifestyle they want in retirement.
February 3 -
The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.
February 3 -
Paul Reilly describes a recent leaked White House memo supporting the DOL's efforts as "an example of biased and distorted research [that] impugns the integrity of the work our advisors do every day."
February 3 -
Matt Lynch, a former B-D CEO, says his new boutique consulting startup will work alongside client firms through their most risky transitions.
February 3 -
Here are a few of the hard-fought mistakes planners say they've made, and the ensuing lessons they've learned.
February 3
