Independent broker/dealers are expanding their affiliation models, with many following advisors into the fee-only RIA space—does it signal the end of the IBD as we know it?
Envestnet plans an emphasis on financial planning in the coming year, including insurance, estate planning and lending services connected through MoneyGuide.
Phillip W. Conley could face as much as 20 years in prison for portraying himself as an investment advisor to raise funds from about 18 victims, according to the Justice Department.
SEC Chair Gary Gensler’s first pick, Alex Oh, resigned within days of taking the job after a federal judge questioned her conduct in a case she was working on in private practice.
Gitterman Wealth Management co-founder Jeffrey Gitterman on how his firm focuses on sustainable investing, making sense of ESG data and where he sees opportunities for advisors to grow.
