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updated Fri. April 13, 2018

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Federated Investors, Inc. (NYSE: FII) today announced an agreement to acquire a majority interest in Hermes Fund Managers Limited, which operates Hermes Investment Management, a pioneer of ESG investment processes, from BT Pension Scheme (BTPS). Upon closing, Federated will pay £246 ...
During his tenure, Ermotti steered UBS away from capital-heavy investment banking to focus on the more predictable business of wealth management after heavy losses during the financial crisis. "How and where we will offer these services will change. We will grow exponentially in Asia in the next ...

In the last week, there's been a lot of softer-than-expected data out there, especially outside of the US, none of which had much influence of US rates. What has moved the financial market needle is the happenings in Washington, D.C.. In a week that had not too much in terms of domestic data ... market
Amid scandals surrounding its sales practices that have extended into the wealth and investment management unit, Wells Fargo said it lost 145 advisors ... that the Securities and Exchange Commission and the Department of Justice are investigating the wealth management division's sales practices. advisors
Mittleman Investment Management, LLC's composite declined 11.3% net of fees in the first quarter of 2018, versus declines of 0.8% in the S&P 500 Total Return Index and 0.1% in the Russell 2000 Total Return Index. Longer-term results for our composite through 3/31/18 are presented below: The top ...

Given Facebook CEO Mark Zuckerberg's recent testimony to Congress on data privacy issues at the social media behemoth he founded, now is an opportune time for advisors to analyze the merits and considerations surrounding data. Specifically I'm referring to behavioral data of clients and ...
The Internal Revenue Service has shifted toward issue-specific enforcement practices for its Large Business and International Division, built around 13 initial "compliance campaigns." One of those campaigns centers on Form 1120-F, which many foreign business entities conducting operations in the ...
Wells Fargo's wealth and investment management group has been in the hot seat lately, but its former top executive is sticking up for it. "I'm proud of what we accomplished and feel good about the integrity of the business," David Carroll, who retired from the company last July, told The Charlotte ... Wells Wealth Management
... I'm able to recruit exactly the kinds of professional leaders in my community that can help me build my business—and who I, in turn, can help to build theirs,” said Vickie Garcia, a financial advisor with NextBridge Wealth Advisors, a Securities America-affiliated wealth management firm in Scottsdale, Ariz.
Welcome, everyone! Welcome to the 66th episode of the Financial Advisor Success Podcast! My guest on today's podcast is Adam Birenbaum. Adam is the CEO of Buckingham Strategic Wealth and BAM Advisor Services, a combination wealth management firm and TAMP platform that oversees more than ...
ATLANTA — “If I'm hearing you right, is your latest research telling us exactly how long it takes to work affluent prospects through the pipeline?” asked Josh, then continued, “I guess that means that we should be more assertive in managing our pipelines.” My response was “Yes” to Josh's question and ...
Offering an alternative to traditional custodians, Apex Clearing has become the choice for digital-first wealth management firms, with a client roster including Betterment, Robinhood and even the newest robo offering from Overstock. Intertwined with the movement to modernize and democratize wealth ...
The wealth management industry has had a longstanding fear—that large consumer brands such as Facebook, Amazon, Apple, Netflix and Google (the FAANG stocks) will disrupt the financial services industry. These companies have well-known brand names and a significant amount of data on their ...
Each year, the Internal Revenue Service adjusts tax brackets and other tax benefits. The Tax Cuts and Jobs Act of 2017 (the Act) enacted changes to the tax law that override some of the original figures issued by the IRS in the revenue procedures, and these changes can have an impact on charitable ...
The chief executive officer at wealth management firm AMP will depart at the end of 2018. An international search for a new CEO is now on. AMP said Craig Meller would retire around the end of 2018 and that the search had been started for his replacement in announcement to the Australian Securities ...

CoBiz Financial logo William Blair Investment Management LLC lessened its stake in CoBiz Financial Inc (NASDAQ:COBZ) by 1.4% in the fourth quarter, according to its most recent 13F filing with the Securities & Exchange Commission. The institutional investor owned 1,313,674 shares of the bank's stock ...
Wagner Wealth Management LLC bought a new stake in Blackrock Multi-Sector Income Trust (NYSE:BIT) during the 4th quarter, according to the company in its most recent disclosure with the Securities & Exchange Commission. The fund bought 10,050 shares of the investment management company's ...
Montecito Bank & Trust is pleased to announce that Tom Fisher has joined the bank as senior vice president and senior portfolio manager, reporting to Peter Madlem, chief investment officer. With deep roots in the banking industry and a passion for exceptional service, Fisher is a highly distinguished ...
I am going to take a deep dive into Platinum Investment Management Limited's (ASX:PTM) most recent ownership structure, not a frequent subject of discussion among individual investors. Ownership structure has been found to have an impact on shareholder returns in both short- and long-term. The effect ...
Securities America's Supervision and Compliance Departments has selected the firm for its national Exemplary Office award. Kelley & Mullis, based in Birmingham, is one of the largest independently-owned financial services firms in the city. The award is based on "employees' pleasant responsive manner, ...
Despite high-profile lawsuits such as the "boom-boom room" case involving Smith Barney more than 20 years ago, sexual discrimination and harassment remain stubbornly unresolved problems in wealth management ― and female financial advisors point to what they say are workplace cultures that can ...
The group offers a comprehensive approach to wealth management via their proprietary "My Wealth Defined" process that integrates Investment Management, Financial Planning, Tax & Estate Planning, Insurance, and is complemented by an exclusive Private Client business. Chad Larson Director, Wealth ...
Since the financial crisis the commodities trading landscape has changed significantly, to a large extent because of regulation (Dodd and Frank, we know who you are) and to a lesser extent because sharp price drops in oil and metals left institutional investors weary of commodities. Algorithmic trading has ...
After rolling out a new client portal where clients access their net worth, account balances, and performance data all from one dashboard, Carson Group Partners Division has brought in $1.5 billion in new committed assets, according to Carson Wealth Management COO Teri Shepherd. “The question we ...
The nation's largest banks — such as JPMorgan Chase & Co. (NYSE: JPM), Bank of America Corp. (NYSE: BAC), Wells Fargo & Co. (NYSE: WFC), Citigroup Inc. (NYSE: C), GoldmanSachs Group Inc. (NYSE: GS) and Morgan Stanley (NYSE: MS) — have operations around the country. Here are other ...
Building on its commitment to help connect and empower the global financial community by harnessing proprietary data and analytics designed to add greater client value, Thomson Reuters today announced the findings of its Digitalization of Wealth Management report 2018 in collaboration with Forbes ...
The PE influence on the wealth management space is being driven in many respects by the volume of money pouring into the private equity space. The latest figures show private equity assets closing in on $3 trillion, with nearly $1 trillion worth of idle "dry powder." By contrast, total PE assets in 2012 were ...
Shares of Gladstone Investment Corporation (NASDAQ: GAIN) are lower by more than 11 percent over the past three months, a move investors should take advantage of, according to Wedbush. The Analyst Wedbush' Henry Coffey upgraded Gladstone Investment's stock from Neutral to Outperform with.
BlackRock (BLK) CEO Laurence D. Fink sent a powerful missive to CEOs and boards of directors regarding the proper role of publicly traded companies in society — and he subsequently sparked an industry debate about what that really means. Mr. Fink's advocacy is much needed in corporate America, ...
Morgan Stanley has appointed Sal Cucchiara head of wealth management technology, replacing Christopher Randazzo, who left to become head of ... Stanley in 2013, Mr. Randazzo was chief information officer for global wealth and investment management at Merrill Lynch, which he joined in 1994. 0.
BMO Wealth Management, the U.S. advisory firm affiliated with Bank of Montreal, said Wednesday that it will begin using SEI's wealth management platform ... Across 140 offices in the U.S., Canada, Hong Kong and Singapore, BMO Wealth Management has an aggregate of $49 billion in client assets under ...
The list of retailers that could potentially launch a wealth management offering is surprisingly long, as financial advice is commoditized and scaled even further to reach the smallest investor. With Amazon inching closer to financial services, industry observers say its a worthy exercise to think about other ...
CPAs are seeing more demand for wealth management and financial planning advice with the passage of the new tax law. “Generally speaking the tax law changes have created even more conversations between financial advisors and their clients about what it might mean to their saving and investment ...
If you are looking to invest in Platinum Investment Management Limited's (ASX:PTM), or currently own the stock, then you need to understand its beta in order to understand how it can affect the risk of your portfolio. Generally, an investor should consider two types of risk that impact the market value of PTM.
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 ...
Tim Stinson, national sales manager, wealth management, will serve in the newly created role of head of wealth management. First Allied President Kevin Keefe and Cetera Advisors President Erinn Ford have left the firm. Mimi Bock, most recently executive vice president of national sales and consulting at ...
Businesses must play a more strategic and integral role in efforts to solve the most pressing problems of our local, national and global communities. So believes Larry Fink, chairman and CEO of international asset management and investment giant BlackRock. His colleagues in the business community are ...
Managing the wealth of well-off people could be a pleasantly profitable business for banks this year, as the number of the rich is growing alongside the strong performance of the local economy. The development of this segment depends on legal backup from the central bank, banks' competency and ...
One of the 50 largest wealth management firms in the United States, Willow Creek Wealth Management, is pleased to welcome Jake Weber to its team as Associate Advisor. He will be assisting with portfolio design along with client service. Prior to joining Willow Creek, he was a financial consultant with ...
St. Louis-based Buckingham Strategic Wealth, which manages or administers more than $12.6 billion in assets, has acquired Stevens Wealth Management, a Deerfield, Ill.-based registered investment adviser with approximately $350 million in assets under management. Terms of the acquisition were not ...
Goldman Sachs is making a fortune off its ultra-high-net-worth wealth management business and wants to expand. Get the best of Barron's Advisor Center every weekday. By signing up, I agree to the Privacy Policy and Cookie Policy. I'd like to receive updates and special offers from Dow Jones and ...
... portfolio decisions without real-world repercussions is a liberating way to learn and develop essential investment management skills. This post takes a look at advanced business simulation technology and gives a preview of how it's applied as part of a modern approach to wealth management education.
Why Michael Finke Is Excited About Wealth Management Education. A new way to ... Still, we saw an emerging, unmet educational need in our community, and we've been hard at work filling the void to create a designation that focuses on an important discipline: advanced applied wealth management.
By using the lifecycle approach in conjunction with a goal-based approach to wealth and investment management, advisors are in a position to provide the most value to clients. Download the guide “The Lifecycle Approach to Wealth Management: 5 Stages to Understand,” for details on the five distinct ...
... finance techniques to help clients reach goals. One useful tactic is the bucketing approach. In this video clip from The American College of Financial Services, behavioral finance professor Benjamin Cummings, explains a useful way to incorporate behavioral finance into investment management.
Have you been keeping an eye on Pzena Investment Management Inc's (NYSE:PZN) upcoming dividend of $0.42 per share payable on the 02 March 2018? Then you only have 3 days left before the stock starts trading ex-dividend on the 15 February 2018. Should you diversify into Pzena Investment ...
Kansas City, MO, based Investment company Mader & Shannon Wealth Management, Inc. buys SPDR S&P 500, SPDR S&P Bank, SPDR S&P Oil & Gas Explor & Product, SPDR Select Sector Fund - Industrial, First Trust DJ Internet Index Fund, SPDR Series Trust S&P Biotech, Applied Materials Inc, Nucor ...
San Francisco, CA, based Investment company First Republic Investment Management, Inc. buys iShares Europe, iShares MSCI Japan Index Fund, Align Technology Inc, Bank of America Corporation, Bank of New York Mellon Corp, Aptiv PLC, American International Group Inc, SPDR Select Sector Fund ...


 

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