Advisers need to learn to help ultra-high-net-worth families achieve and maintain a sense of shared purpose and stewardship around legacies.
The Menlo Park, California-based company announced a new debit card last week, complete with a spare change investing feature, after reaching a settlement with the Vermont Department of Financial Regulation over lax oversight and service outages.
Leslie Shenkler and Daryl Lipkin are setting up shop as Alcove Private Wealth in Princeton, New Jersey.
As mortgage rates hit a two-year high, financial advisers are weighing the pros and cons of whether clients should refinance or downsize.
Private equity firms Clearlake Capital Group and Motive Partners announced the acquisition of Beta+ this week and plan to use the tech to enhance wealth management firms they already own.
The biggest U.S. bank will hire a third party to perform the audit and publish a report on the results by the end of this year.
The Baton Rouge, Louisiana-based Hays Breard Financial Group is joining Cetera’s Summit Financial.
The initiative was originally launched with existing technology in 2020 and through a partnership with InvestCloud, is now ready to onboard new clients.
Women Adviser Summit panelists say the financial planning industry needs more advisers focusing on the LGBTQ-plus community.
The shift from having taxes withheld to making estimated tax payments can be challenging for people entering retirement.
Ann Alsina kicks off the Women Adviser Summit by inspiring women to find their own niche.
The Wealth platform is designed to help clients better manage their legacies by creating plans online through a combination of proprietary legal documents and encrypted digital vaults.
Dempsey Lord Smith and BD4RIA were negligent in 2018 when they failed to inform clients that GPB had missed a deadline for filing financial information, according to Finra.
The Swiss bank expects about 10% of its workers in the US to go remote as the program is implemented in phases, starting at the wealth unit.
Securities issuers would also have to report Scope 1 and 2 emissions, or those that are directly from their operations and the energy they use, on their registration statements and periodic reports.
It was the only wirehouse to show a net increase in financial advisers last year, according to InvestmentNews data.
Advyzon Investment Management will provide advisory tools to manage front- to back-office operations, such as investment decisions on portfolio and model allocations, tax planning and reporting, and rebalancing tools.
The Tifin Group is building out its software that helps financial advisers invest in DAFs.
Firms have made plans to return employees and advisers to offices in the past but have scuttled those due to flare-ups of the pandemic.
This month’s #AdviserTech roundup includes FeeX’s rebranding and funding round, Datalign’s launch of a lead generation service and Fidelity’s new compliance solution, Saifr.
