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Securities and advisory services offered through LPL Financial, a registered investment advisor, member FINRA/SIPC. The opinions voiced in this material are for general information only and are not intended to provide specific advice or recommendations for any individual. Bush wealth management and ...
The company late Thursday, Jan. 11, announced it has filed a registration statement with the U.S. Securities and Exchange Commission for a proposed initial public offering of its Class A common stock. The proposed maximum aggregate offering price for the IPO is $100 million, according to the SEC filing.

I wonder if the bank's 4Q17 will be robust enough elsewhere to offset expected softness in sales and trading. I fear that the company may be overly exposed to trends in securities services that do not seem favorable. It's not looking that good for Morgan Stanley (MS). The first few data points started to come ...
EXCLUSIVE - Merrill Lynch wealth management is adding a client-to-advisor texting capability to its mobile app starting next month. For the feature, Merrill Lynch has partnered with mobile communication solutions provider CellTrust to manage, track, and deliver text messaging. All communication will be ...
So, you've had more than a week to sweat out all those New Year's spirits. It's time, though, to break out the bubbles again to celebrate a key sentiment indicator reaching the century mark. No, the indicator's not a hundred years old. It has just gained a hundred points since its nadir during the 2008 financial ...
The chart I'm giving is a scary one, but then aren't they all in some way? What it shows is the Dependency Ratio, or the number of workers per Retiree. Ten-years ago, we had about 4.75 workers for each retiree in the U.S. Today it's about 3.8. In 2030, it'll slide to about 2.75. You get this, of course. Related: ...

It has been an active week for RIA mergers and acquisitions. This week, Mercer advisors acquired Austin, Texas-based Murray & Co. and Hartford, Conn.-based Pinnacle investment management, bringing its total client assets to $11.6 billion. Pittsburgh-based wealth management firm D.B. Root & Co. also ...
SwissBorg, based in Switzerland, is a WealthTech DAO aiming to change the way wealth management looks by offering cryptocurrency investment solutions backed by Swiss financial expertise to the world with a team of over 100 combined years of investment experience. Their ICO, active now, provides ...
Short Hills, N.J.-based investors Bank, which has 22 financial advisors and about $600 million in client assets under administration, is moving its wealth management business from INVEST Financial corporation to Cetera Financial institutions, Cetera's broker/dealer focused on banks and credit unions.
Fewer than 20% of affluent investors would consider their primary bank for wealth management products and services, according to the firm's annual Investor Brand Builder study. banks currently claim an average of approximately 20% of total assets from the few customers who would look to them for ...
"We are headed for a period where there will be increased volatility for risk assets. When we see a period like that, we see ETFs benefit afterward," says Guggenheim's William Belden. Dan Weil | Jan 09, 2018. Exchange traded funds are great tools for individual investors, but like anything else, there may be too much of a ...
A spokesperson for Morgan Stanley said the brokerage does not currently offer Morgan Stanley wealth management clients access to securities or ... Ross Gerber, the co-founder, president and CEO of Gerber Kawasaki wealth and investment management in California, said brokerages forbidding advisors ...
The Nuveen equity strategist's predictions for the economy, the markets and the mid-term elections. Diana Britton | Jan 04, 2018. 2017 was an outstanding year for the stock market, with positive total returns every month and high earnings growth each quarter. But Bob doll, senior portfolio manager and chief equity strategist ...
Most people don't stick to New Year's resolutions, not because they're lazy, but because 365 days is too long a timeframe for commitment. In this episode, Stephen and special guest Matt Oechsli discuss the best way financial advisors can set goals and establish good habits with cues, routines, and ...
We've all heard about it--the looming exodus of wealth management professionals about to retire. Between this "brain drain" and the tendency of younger wealth managers to jump from shop to shop, it's clear our industry is facing some formidable human capital challenges. As we enter a new year, ...
2017 was another year of positive returns, and the miracle of compounding continues. We are proud of the long-term performance that we've achieved over the nearly 35 years since we started our Firm. Returns for all of our Funds over various intervals can be found on the performance table on our website ...
wealth management training appears to be growing in popularity as evidenced by a new portal from Blue Duck wealth management. This month, Blue Duck launched a feature that gives financial advisors improved access to the resources on its platform. It builds on the firm's existing offerings, which are ...

Thanks to the new tax law, carrying a large mortgage may no longer be a smart financial strategy. Jan 03, 2018. By Jonathan Clements. The above headline overpromises, I readily admit. Still, three considerations--taxes, risk and the economic cycle--point to one conclusion: paying down debt in 2018 looks like an awfully ...
Spinnaker, which has a staff of 31, manages over $1.5 billion of client assets and provides a range of Financial Services including investment management, trust and estate planning, tax services and employee stock ownership plan trustee services. A graduate of Harvard Law school, Rand has served ...
While limited liability companies taxed as partnerships have been the default choice of entity for most businesses for decades, there remain millions of S Corporations (S corps) owned by individuals. Thus, estate planning frequently (and in the view of the authors, almost always) results in assets, including S ...
Pzena investment management Inc Class A (PZN) traded on unusually high volume on Jan. 02, as the stock lost 5.62% to close at $10.07. On the day, Pzena investment management Inc Class A saw 99,296 shares trade hands on 373 trades. Considering that the stock averages only a daily volume of ...
Dynegy logo Schwab Charles investment management Inc. grew its stake in shares of Dynegy Inc. (nyse:DYN) by 46.1% during the 3rd quarter, according to its most recent Form 13F filing with the Securities and Exchange Commission. The firm owned 1,355,145 shares of the utilities provider's stock after ...
Walter investment management Corp (nyse:WAC) has grabbed attention from the analysts, when it saw a value increase of 9.1% or 0.07 points in the last trading session to close at $0.84. A total of 1.45 Million shares exchanged hands during the intra-day trade compared with its average trading volume of ...
Pzena investment management, Inc. logo Zacks Investment Research cut shares of Pzena investment management (NYSE:PZN) from a buy rating to a hold rating in a research report released on Thursday, December 21st. According to Zacks, "Pzena investment management, LLC, which will become the ...
Silverleaf wealth management is a comprehensive financial planning firm located in Omaha, Nebraska utilizing the broker/dealer support of the nation's largest independent channel of LPL Financial*. In additon, Silverleaf wealth management is affiliated with the SEC registered investment advisory firm of ...
Securities and advisory services offered through LPL Financial, a registered investment advisor, member FINRA/SIPC. The opinions voiced in this material are for general information only and are not intended to provide specific advice or recommendations for any individual. Bush wealth management and ...
Whether it's an illness impairing judgment, an accident or unforeseen tragedy, thinking about life's worst curveballs (never mind preparing for them) isn't always on an investor's radar. But not planning for them can be far worse--especially for those who've spent a lifetime accumulating and building their ...
Morgan Stanley later renamed the business Morgan Stanley wealth management in 2012 and assumed full control over it in 2015. In 2004, when the protocol agreement was created, Smith Barney was one of three firms--including Merrill Lynch and UBS--to sign and take part in the arrangement.
Carnegie Investment Counsel of Pepper Pike and Midwest investment management of Cleveland are merging, creating a firm with $2 billion in assets under ... Carnegie is a Registered investment adviser (RIA) specializing in customized portfolio management, wealth management and planning, and ...
Boston Private Financial Holdings is selling one of its investment management units, Boston-based Anchor capital Advisors LLC, to that unit's management team, and now plans to focus more on its own branded wealth management services. Boston Private (Nasdaq: BPFH) is set to receive $32 million in ...
In addition to investment management and education planning, the wealth management Certified ProfessionalTM (WMCPTM) includes content in behavioral finance, tax planning, charitable planning, estate planning and a number of other wealth management topics. It covers sophisticated asset location ...
Arvest wealth management is pleased to announce Chris Rooker has joined Arvest Trust. Rooker will serve as Arvest Trust's chief fiduciary & risk officer. His primary job responsibilities include providing leadership and guidance to the Arvest Trust compliance team in the areas of fiduciary law, policies and ...
Ten of China's mid-sized banks have pushed back on a plan by regulators to bring their wealth management products in line with international best practices, seeking to extend a grace period before terminating wealth management products with guaranteed returns. The banks are asking to extend a June ...
iShares Gold Trust logo Highland Private wealth management boosted its stake in iShares Gold Trust (NYSEARCA:IAU) by 8.8% in the third quarter, according to its most recent disclosure with the Securities and Exchange Commission. The fund owned 722,540 shares of the exchange traded fund's stock ...
Walter investment management Corp. (WAC) is an interesting player in the Financial space, with a focus on mortgage Investment. The stock has been active on the tape, currently trading at $0.69, up from yesterday's close by 28.44%. Given the stock's recent action, it seemed like a good time to take a closer ...
Perhaps I'm tired and certainly uninspired, but then a glance at a 10-year yield chart would tell you I have company. This could reflect how little new, critical, information is in the market; we have more Fed hikes being priced in, against still subdued inflation, and we can debate what the tax plan will actual do ...
After ETFs, the next revolution in investment management may be direct indexing, a kind of separately managed account for the masses. ... this technology is substantial," says Michael Kitces, publisher of the Nerd's Eye View blog and partner and director of wealth management at Pinnacle Advisory Group.
1. Do you aggregate all of your data yourself or do you rely on other account aggregation providers for a portion of your data? Not all account aggregation providers are created equal. In fact, you may be surprised to learn that only a minority of providers perform their aggregation themselves. Instead, many ...
PITTSBURGH -- "We've always viewed advisors who were frantically working in December to hit their numbers as losers," commented Jeb with a smug look, then admitting as much "Maybe I'm being arrogant, but we always hit our numbers mid-way through Q4 and view December as holiday time.
LPL Financial has retained Fross & Fross wealth management, a $530 million firm previously affiliated with SII Investments, a subsidiary of National Planning Holdings. Fross & Fross, located in the The Villages, Fla., is the latest firm to choose between staying with LPL or affiliating with another ...
The move allows Winthrop wealth management, which still custodies with LPL, to get its new practice acquisition platform up and running. ... Boston-based Winthrop wealth Management, a wealth management firm with $1.3 billion in client assets, has left LPL Financial's corporate registered investment ...
The latest case is part of a larger effort by the SEC to crack down on unscrupulous brokers. Nicho Ader | Dec 06, 2017. The Securities and Exchange Commission charged two New York-based brokers with defrauding clients through excessive trading. The regulator claims that Zachary S. Berkey and Daniel T. Fischer, while ...
The growing epidemic of addiction is changing the landscape of our clients' plans. Practitioners need to be prepared. Addiction statistics are startling--approximately 142 Americans die every day from a drug overdose. Further, a forecast by STAT concluded that as many as 650,000 people will die over the ...
The firm is a pioneer in the world of fee-only wealth management, maintaining a conflict-free process by refusing to sell products or charge a commission. Recognized by national publications such as Barron's, Financial Times, and Forbes to be among the top financial advisors in the nation, Altfest works ...
Perigon wealth management, LLC initiated holdings in Dun & Bradstreet Corp. The purchase prices were between $105.35 and $116.36, with an estimated average price of $110.93. The stock is now traded at around $123.12. The impact to the portfolio due to this purchase was 1%. The holdings were ...
Cleantech Solutions (Nasdaq:CLNT) +60% premarket on news it acquired a 51% interest in the issued share capital of Brighten Holdings, a subsidiary of Hong Kong-listed Styland Holdings, through a conditional share swap agreement. CLNT says Brighten is a boutique investment firm specializing in ...
Through the acquisition, wealth Enhancement Group, which uses LPL for its brokerage business, helps the independent broker/dealer to retain another NPH team. Diana Britton | Dec 06, 2017. Minneapolis-based Wealth Enhancement Group, the registered investment advisory firm backed by private equity firm Lightyear ...
You're familiar with how wealth management is changing thanks to robo advisors, big data analytics and even artificial intelligence. But there are other up-and-coming technology trends that might not be on your radar. For instance, what exactly is the average millennial investor using to build their finances ...
Managed futures ETFs should get a boost as commodity prices have been rising off a mid-summer bottom. Brad Zigler | Dec 05, 2017. Amid all the hoopla surrounding the stock market--new records on an almost daily basis--something has been quietly developing in a non-correlated corner. Commodities have been rising ...
There are hundreds of applications for a digitally influenced wealth management experience, as Mr. Honikman points out in his piece. For example, directional insights during the black-out between QPRs; a more interactive channel of communication, particularly during tumultuous market events; options to ...


 

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