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.
We need to understand new technologies and combat the fear of missing out on the hottest investment category, which has been cryptocurrencies.
The fine and restitution to customers stem from sales of two alternative investments, the LJM Preservation & Growth Fund and private placements issued by GPB Capital Holdings.
One important aspect of retirement planning that hasn’t changed — and is likely never to change — is the need for advisers to be forthright with their clients, especially about matters relating to longevity and income adequacy.
Nishat and his partner specialize in serving immigrants and first-generation Americans; their firm works with physicians and entrepreneurs who moved to the New York area from all over the world.
Smith, president of ELS Vision Wealth Management, focuses on helping those in the ‘first generation of success.’
The competitive landscape for turnkey asset management platforms is heating up after providers landed millions in new assets during the pandemic, when advisers were desperate for any technology that could keep them up and running.
The results from the most recent InvestmentNews survey shows sentiment is turning south.
