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Inflation, no longer deemed transitory, puts advisers in scramble mode
RIAS JUN 03, 2022
Inflation, no longer deemed transitory, puts advisers in scramble mode

The Biden administration is now saying upward pressure on prices could be the new reality, which has advisers getting more creative.

Group overseeing $800 million switches to SagePoint from Lincoln
PRACTICE MANAGEMENT JUN 02, 2022
Group overseeing $800 million switches to SagePoint from Lincoln

IronBridge Wealth Counsel, which has eight advisers, has offices in seven cities across the country.

Savant invests $3 million to help Australian fintech expand into US wealth market
FINTECH JUN 01, 2022
Savant invests $3 million to help Australian fintech expand into US wealth market

Australian fintech Lumiant provides a digital client portal and engagement technology for advisers, and RIA Savant will be its first US customer.

SEC orders San Diego B-D to pay $800,000 over fund share class disclosures
PRACTICE MANAGEMENT JUN 01, 2022
SEC orders San Diego B-D to pay $800,000 over fund share class disclosures

Madison Avenue Securities didn't disclose or didn't adequately disclose conflicts associated with compensation the firm received from certain advisory client investments. 

Envestnet buys 401kplans.com, expanding retirement offerings
RETIREMENT PLANNING JUN 01, 2022
Envestnet buys 401kplans.com, expanding retirement offerings

The company said the deal underscores its ongoing commitment to the retirement plan industry and to investing in technologies that enhance its 'financial wellness ecosystem.'

Market correction puts Roth conversions on the front burner
RIAS JUN 01, 2022
Market correction puts Roth conversions on the front burner

The tax implications of an IRA conversion are far from automatic and can be difficult to forecast this early in the year.

Become part of your client's business team as risk management partner
OPINION JUN 01, 2022
Become part of your client's business team as risk management partner

Leaders focused on business growth may not be thinking about the next unexpected disruption. That's where trusted advisers have an opportunity to bridge the gap.

Negotiating with a custodian
OPINION JUN 01, 2022
Negotiating with a custodian

The 5 cents remaining in an investment account triggered a lengthy back-and-forth between the adviser and his custodian.

Women give more, differently, sparked by recent upheaval
PRACTICE MANAGEMENT MAY 31, 2022
Women give more, differently, sparked by recent upheaval

New research reveals sharp generational differences as women double down on their philanthropic priorities.

Barred broker latest to be focus of a GWG bond complaint
ALTERNATIVES MAY 31, 2022
Barred broker latest to be focus of a GWG bond complaint

Marc Korsch, who was booted from the securities industry last year, has a staggering 33 disclosure items on his BrokerCheck report.

United Planners adopts private network solution
FINTECH MAY 31, 2022
United Planners adopts private network solution

The independent broker-dealer says the cybersecurity system from cleverDome offers more control than a virtual private network.

Fintech Bytes: iCapital, Morningstar, RIA in a Box
FINTECH MAY 27, 2022
Fintech Bytes: iCapital, Morningstar, RIA in a Box

For some additional reading material in between cookouts and baseball games this weekend, here are the rest of the week’s adviser fintech headlines.  

Promises of student debt forgiveness put advisers in uncharted territory
RIAS MAY 27, 2022
Promises of student debt forgiveness put advisers in uncharted territory

The moving target of potential debt forgiveness, coupled with an extended payment moratorium, has advisers reading the political tea leaves for direction.

Fintech unicorn Vise partners with Morgan Stanley alum's new RIA aggregator
RIAS MAY 26, 2022
Fintech unicorn Vise partners with Morgan Stanley alum's new RIA aggregator

Vise, a startup that provides advisers with custom indexing and automated portfolio management, is looking to boost growth by partnering with a new RIA aggregator.

Northern Trust Asset Management seeks greater diversity in trade executions
PRACTICE MANAGEMENT MAY 26, 2022
Northern Trust Asset Management seeks greater diversity in trade executions

Firm is seeking requests for information from minority-owned broker-dealers, as well as those owned by women, veterans and people with disabilities.

Helping suddenly rich clients stay that way
PRACTICE MANAGEMENT MAY 25, 2022
Helping suddenly rich clients stay that way

Morgan Stanley's private wealth management trains advisers to guide their clients through the peaks and valleys of first-generation wealth.

Don't let an off-kilter tech stack crumble a deal
OPINION MAY 25, 2022
Don't let an off-kilter tech stack crumble a deal

Technology has become a deciding factor in today’s M&A, so if you're preparing a firm for acquisition, it’s clear that tech is where you want to make that strategic investment.

Surveys show Americans prefer retirement planners, lack plans
RETIREMENT PLANNING MAY 25, 2022
Surveys show Americans prefer retirement planners, lack plans

Retirement income planning is the service most sought after by both older and younger consumers, according to a survey by the Granum Center for Financial Security.

Bill Winterberg returns to adviser fintech at AdvicePay
FINTECH MAY 25, 2022
Bill Winterberg returns to adviser fintech at AdvicePay

Winterberg will serve as vice president of financial planning growth at AdvicePay, the fee-payment-process technology created by XY Planning co-founders Michael Kitces and Alan Moore.

Bear markets chip away at firm valuations
OPINION MAY 25, 2022
Bear markets chip away at firm valuations

Just about every asset class has been whacked in this year's sell-off, which has pushed firms' AUM values lower, resulting in lower fees and revenues.