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Morgan Stanley shakes up wealth unit

April 24, 2019

Morgan Stanley CEO James Gorman shook up leadership of the firm's massive wealth management division, assigning one of its co-heads to focus on bank units offering loans and deposit accounts. The move affects two executives who've been widely...

Franklin plans to cut up to 5% of workforce

April 23, 2019

Franklin Resources Inc. plans to cut as much as 5% of its workforce to help save at least $75 million as the fund company faces continued outflows. Franklin, the parent of Franklin Templeton Investments, started with voluntary buyout offers...

Wells Fargo annual meeting 'less relevant' amid bank's CEO search

April 22, 2019

Wells Fargo & Co.'s top managers and board members are set to face investors Tuesday, but the bank's conspicuous lack of a CEO has damped expectations that it will say anything new about how to emerge from the shadow of customer-abuse scandals...

Buffett urges Wells Fargo to look beyond Wall Street for CEO

April 8, 2019

Warren Buffett, the largest shareholder in Wells Fargo & Co., says the bank should look outside Wall Street for its new chief executive officer to avoid drawing criticism in Washington. "They just have to come from some place [outside Wells]...

Hiring young advisers: You can't start too early

April 8, 2019

The talent shortage is one of the biggest challenges our industry is currently facing, so it's no surprise that finding and recruiting the right talent were top of mind for attendees at TD Ameritrade Institutional's annual adviser conference,...

Best Places to Work for Financial Advisers: The research and the data

April 1, 2019

As InvestmentNews celebrates its second class of Best Places to Work for Financial Advisers, we'd like to use the opportunity to shed some light on the practices that play the biggest role in setting the Best Places apart from the competition...

Wells Fargo CEO Tim Sloan steps down

March 28, 2019

Wells Fargo & Co. Chief Executive Officer Tim Sloan has stepped down effective immediately amid mounting pressure over the lender's scandals, and will be replaced on an interim basis by the bank's general counsel, C. Allen Parker. The bank is...

Warren, Brown ask regulators to oust Wells Fargo CEO Sloan

March 22, 2019

Sen. Elizabeth Warren is again taking aim at Wells Fargo & Co. CEO Tim Sloan, this time asking federal regulators to invoke their power to make management changes. The Democratic senator and presidential candidate joined Ohio Democrat Sherrod...

UBS escalates its pursuit of rich Americans with staff promotions

March 6, 2019

UBS Group promoted 96 employees to the level of managing director in the Americas as it seeks to gain more rich clients and expand in the region. The Swiss bank elevated 60 financial advisers and 36 Americas staff, according to Tom Naratil,...

Making room for the next generation of advisers

March 4, 2019

Recently, I read an article in the November issue of the Harvard Business Review (What Happens to Younger Workers When Older Workers Don't Retire) that got me thinking. It focused on the world of symphony orchestras, where many principal oboists...

Wells Fargo CEO Tim Sloan could be hard to oust — here's why

February 22, 2019

Wells Fargo & Co.'s top critic makes it sound so easy. Sen. Elizabeth Warren has made her view clear — again and again — that the bank can't resolve its scandals until it names an untainted replacement for Chief Executive Officer Tim Sloan....

Robert Moore, Cetera CEO, stepping down for health reasons

February 19, 2019

Cetera Financial Group said on Tuesday that Robert Moore will step down as its CEO, effective March 31, due to health reasons. Mr. Moore will continue to serve as an adviser to the board and executive management team. Ben Brigeman, board chairman,...

Great-West Life taps Edmund Murphy to succeed Robert Reynolds as CEO

February 7, 2019

Edmund F. Murphy III will succeed Robert L. Reynolds as president and CEO of Great-West Life & Annuity, the U.S. subsidiary of Great-West Lifeco Inc. and the parent of Empower Retirement, of which Mr. Murphy remains president. Mr. Reynolds becomes...

5 ways to attract top talent to your RIA firm

January 30, 2019

One of the tightest labor markets in history, combined with the extraordinary growth of the independent advice industry, has created a fiercely competitive environment for attracting talent. Nearly three-quarters (73%) of independent firms planned...

Let's redeploy veterans to save our industry from an impending shortage of advisers

January 10, 2019

During the holiday season, we tend to see a higher than usual number of uniformed military personnel enjoying time with their families in public. What we don't see are the massive numbers of military veterans who no longer wear the uniform but...

Alexa von Tobel seeks $200 million for new venture capital fund

January 9, 2019

Alexa von Tobel is seeking $200 million to launch a new venture capital fund called Inspired Capital Partners, according to a Form D filed Wednesday with the Securities and Exchange Commission. The filing comes just a few days after Ms. von...

Federated Investors fires staffers after they used hand signs during TV interview

January 4, 2019

Federated Investors Inc. fired at least two employees for unprofessional conduct last month during a Bloomberg Television interview of one of the firm's money managers. "We apologize to anyone who was offended," Meghan McAndrew, a spokeswoman...

How financial services firms can help employee caregivers

December 7, 2018

Financial services firms are in the business of caring for customers — resolving issues, addressing multiple needs and providing a high-touch experience. But some of that care and concern should be directed to our own employees, many of whom...

Are you serious, Wall Street? A response to the #MeToo 'advice' of men

December 5, 2018

This open letter is a response to a Bloomberg article​ InvestmentNews ran Tuesday about some male Wall Street executives whose concerns about #MeToo accusations have led them to limit the ways in which they work with female colleagues, for...

Drive growth today and be positioned to thrive in future markets

November 29, 2018

Recent market volatility may have just done you a favor. It's a potent reminder that the bull market is long in the tooth. Hopefully, all of this volatility has you asking yourself: Is your business prepared not only to weather a prolonged market...

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