SEC looks at Morgan Stanley’s cash in advisory accounts

SEC looks at Morgan Stanley’s cash in advisory accounts

Meanwhile, Wells Fargo is attempting to close the books on the SEC's investigation.

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Market jitters spark 401(k) trading

Trading activity was eight times higher than usual on Monday, a level not seen since March 2020, according to Alight Solutions.

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New tools enable advisors to reflect client values, says Iconik co-founder

Iconik co-founder Alan Reid sits down with InvestmentNews anchor Gregg Greenberg to discuss how advisors can increase customization and personalization in their practices to reflect client values.

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More advisors offer advice for keeping cool in a market storm

It's been a nerve jangler of a week, so how can wealth managers handle investor anxiety?

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VIDEO

Reshoring, energy transition stocks to stay hot, says TCW portfolio manager

Eli Horton, senior portfolio manager of active equity ETFs at TCW, sits down with InvestmentNews anchor Gregg Greenberg to discuss why 'reshoring' and energy transition are two of the hottest investing themes in the market.

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The problem is finding new clients not new advisors

"It's not just about the numbers, it's about getting to know advisors and their motivations."

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Raymond James extends Ohio presence with veteran Wells Fargo advisor

The latest addition to the independent wealth giant’s employee advisor unit comes after managing a reported $140M at his former firm.

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Carson Group expands anew with veteran-led retirement planning firm

Texas-headquartered Shane Hall Financial adds $169M to the national wealth giant's expansive network.

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YieldStreet founder Milind Mehere takes a seat at Advisor360

The serial technopreneur is joining as the newest member of the enterprise wealth tech firm’s board of directors.

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Elements elevates financial planning with new Target Scores function

The advisor fintech provider’s latest update helps promote better financial behavior among clients with specific goal-setting functionality.

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Nepsis taps industry veteran Troy Williams as new growth leader

The national RIA’s latest hire brings 15 years of experience from US Bancorp, Ameriprise, and other firms as he oversees its continuing growth efforts.

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Just a quarter of Americans expect to leave a financial inheritance, says Northwestern Mutual

Latest annual research offers a glimpse into the expectations, values, and other undercurrents driving the $90T wealth wave across generations.

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Optimism reigns among advisors with most betting on further S&P 500 gains

Polling of nearly 500 advisors from IBDs, RIAs, and other firms finds four-fifths forecasting at least a 5 percent advance this year.

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Kestra welcomes Edward Jones alum in Virginia

The tuck-in transaction adds a breakaway advisor to one of the hybrid RIA’s partner firms, bringing it past the $200M AUM mark.

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Stocks stage bullish comeback following $6.5T selloff

The S&P 500 benchmark rides a wave of dip-buyers as experts reaffirm the value of "healthy" corrections.

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Focus Financial presses pause on $3.65B term-loan deal

The RIA aggregator pulled the transaction as worldwide turbulence in the markets puts a chill on debt issuance.

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10,000 email addresses reportedly exposed in massive data leak

Privileged information revealed from 900 organisations including Dell, Verizon, according to reports.

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