Financial Advisor Blog - Page 106 - Financial Advisor Transitions

Study Finds That Misconduct of Investment Advisers Spikes After Private ...

January 11th, 2022

According to a recent academic paper, advisers at registered independent advisory firms (RIAs) with private equity stakeholders are more likely to ...

Surge in RIA M&A Activity Expected to Continue in 2022

January 10th, 2022

In a recent survey conducted by DeVoe & Co., 63 percent of Registered Investment Advisors (RIAs) stated they expect merger-and-acquisition (M&A) ac...

"Great Resignation" Should Not Include Financial Advisors

January 7th, 2022

The wealth management industry is not immune to the nationwide "Great Resignation."

Morgan Stanley, Robinhood Blur Further Lines Between Self-Directed and T...

January 6th, 2022

Morgan Stanley recently unveiled its E*Trade branding, changing the logo color to mix the parent company's light blue with its 2020-acquired self-d...

Wells Fargo's Chief Risk Officer to Retire

January 5th, 2022

Amanda Norton Wells Fargo & Co. Chief Risk Officer is resigning after four years in the position of chief risk officer.

JP Morgan and Other Large Banks Delay In-Person Returns to the Office

January 4th, 2022

The highly transmissible omicron variant of the COVID-19 virus has prompted many executives to reconsider having employees return to the office.

FINRA Proposes to Maintain Business Continuity Rule

January 3rd, 2022

After conducting a "Pandemic Review", the Financial Industry Regulatory Authority (FINRA) will leave Rule 4370 (Business Continuity Plans and Emerg...