Tag: Career

Charles Schwab’s 2011 RIA Benchmarking Study found that meeting and adapting to regulatory changes was an impediment to growth, cited by 21% of firms for the first time...

Larch Lane Advisors LLC announced that David Katz has been named the firm’s President and Chief Operating Officer.  

A federal judge is likely to approve a $32 million settlement against Wells Fargo & Co. in a suit brought by female financial advisers who claim they were...

Vanguard announced that that James M. Delaplane, Jr. will join the investment management firm to lead its government affairs office in Washington, D.C.

Michael A. Coelho and Brenda Tarjan are the newest members of the SageView Advisory Group, an independent retirement plan advisory firm. 

Steven Harding, formerly of Independent Fiduciary Services (IFS), has started P2E Consulting Group LLC.

Financial Research Corporation (FRC) announced that Robert J. Jenkins has joined the firm as President.

Seventy-five percent of U.S. broker/dealer (B/D) and independent registered investment advisory (RIA) firms are planning to hire in the next 12 months. 

J.P. Morgan Asset Management has hired Benji Baer as Managing Director and Chief Marketing Officer.  

TD Ameritrade has started a professional development program that aims to give women in financial advisory roles the tools they need to effectively market their services to female...

Baden Retirement Plan Services, a third party administration firm, has appointed Brian Smith as Sales Manager.

Investment management firm F-Squared Investments has named former Fidelity and Bank of America executive Bill Carey to head its newly formed retirement division.

Aon Corporation has announced several key leadership changes at the consulting giant. 

The Greenbrier Wealth Management Group has come together under Raymond James & Associates in its Westlake Village, California, office.  

Russell Investments launched the Advisor Health Index, a tool that provides financial advisers with a high-level "health" assessment of their practice in comparison to other advisory firms.

BrightScope’s CEO says there is a need in the marketplace for investors to have more quantitative data when selecting a financial adviser.  

The American Express OPEN Small Business Monitor finds retirement savings is a worrisome topic for business owners.

Russell Investments has hired Chris Barlow as a defined contribution specialist for the firm’s U.S. adviser-sold business.

GE Asset Management (GEAM) selected Doug Heckman to be Senior Vice President of Institutional Sales.

Towers Watson announced that Mark Mactas, president and Chief Operating Officer (COO), has decided to retire by the end of calendar year 2011.