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Nearly three decades after launching their practice, the two founders say they’re looking forward to spending more time with clients.January 13
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Whitnell & Co. changed hands in a deal with a regional bank that also struck a strategic partnership with the wealth manager.January 11
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SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.December 30
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The wealth manager whose parent firm also owns an insurer and asset manager settled its third case involving the same time period.December 23
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Without market-leading, high-yield savings accounts, cash management at Betterment and Wealthfront isn’t as attractive as it was in 2019.December 23
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Despite pledges, the IBD network didn’t collect enough data for suitability reviews of the outside transaction for more than five years, according to the regulator.December 22
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Like its largest rivals, the wirehouse kept grids at par after a tumultuous 2020.December 17
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Waddell & Reed had been working in recent years to transform its “proprietary broker-dealer into a fully competitive independent wealth manager.”December 10
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Funding is getting tighter as advisors look towards marketing automation as an engine for growth.December 9
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Brian Truscott oversaw more than $330 million in client assets.December 8
