Raymond James Stops Reporting Quarterly FA Count. Advisor count “has become a less relevant measure of strength and growth” for the Private Client Group, Raymond James said in a statement to FA-IQ, adding it will move to annual reporting of the metric.

Financial services firms must establish procedures to ensure that their day-to-day operations and regulatory compliance are not interrupted in the event of a cybersecurity issue involving a third-party vendor, Finra says. Among the lobbying group's other advocacy priorities are regulatory ...

2025年1月23日 · Industry Groups Ask for Tax Break for Independent FAs. Ten broker-dealers and industry trade groups are asking Congress to include independent financial advisors in the group of small businesses entitled to a tax write-off enacted during President Donald Trump’s prior …

17 小时之前 · UBS' chief financial officer says the firm expects to lose U.S.-based financial advisors as the wirehouse shifts its compensation structure in hopes of spurring profits. "In the U.S., our efforts to align financial advisor incentives with our strategic priorities may result in a short-term increase in FA attrition, creating an additional headwind for net new assets in the coming months," Chief ...

2025年1月29日 · Beware Outsourcing’s Security Risks, Finra Says. Financial services firms must establish procedures to ensure that their day-to-day operations and regulatory compliance are not interrupted in the event of a cybersecurity issue involving a third-party vendor, Finra says.

17 小时之前 · The firm is signaling that its new advice and wealth management business will cater to the low end of the market, relying on technology rather than hiring financial advisors. February 4, 2025 This story originally ran on Financial Advisor IQ sister publication Ignites. Vanguard is signaling that its ...

2025年1月15日 · This is the fifth article of Financial Advisor IQ's five-part special report on the outlook for alternative investments in 2025. As 2025 begins, investors and advisors face a mix of contradictory concerns. The economy has been on fairly solid footing and companies continue to post solid earnings ...

2024年12月26日 · Financial Advisor IQ today is looking back at the headlines that grabbed the most attention in 2024. This issue is a collection of the biggest news stories as measured by clicks and reader engagement this year.

2024年9月17日 · Why Edward Jones is 'Stuffing the Product Shelf' The firm is aiming to address a wider range of client needs while increasing customization and flexibility, an Edward Jones executive told FA-IQ.

Hannah Glover is a Group Managing Editor at Money-Media, overseeing several asset management and governance titles including Ignites, FundFire, BoardIQ, Agenda, Financial AdvisorIQ, Ignites Europe and Ignites Asia.She joined the FT Specialist unit as a reporter in 2007 and has worked as managing editor at Ignites and sister publication GatekeeperlQ.