Fintechs are buying books of business and hoping in-house tech stacks are enough to entice financial advisers to come on board.
The hiring push comes after Merrill and Bank of America reported a 6.3% decline in financial adviser head count last year.
Firms need purpose-built tools to manage their discovery responsibilities as the emergence of Slack, Zoom, Microsoft Teams and other communication channels has made e-discovery far more complex.
James Iannazzo, who's facing three charges as a result of the incident in January, seeks to plead not guilty and be put on probation for up to two years.
Investors representing $4 trillion urge regulator to include Scope 3 emissions in corporate climate reporting.
The deal, which will close later this month, pushes the assets on iCapital's platform to more than $118 billion.
Father-and-son team of James and Christopher Domgard operate as Capital Private Wealth in Lincoln, Nebraska.
Both new and existing retirees face the challenge of generating steady income in the low-interest-rate environment, which calls into question the traditional 60/40 investment strategy.
The latest apps like WhatsApp and emailing platforms like Gmail are beginning to play an oversized role in adviser communications, a trend that could increase as more clients choose to communicate via their smartphones.
It's an indication the firm is carrying through on its strategy to attract experienced financial advisers who generate more revenue.
Frontier Growth is taking a minority equity stake in the Rhode Island-based fintech.
ESGgo will monitor and eventually help improve companies' disclosures.
8 tips to help advisers enjoy a less stressful experience during and after a move.
Angela Ribuffo, president of Raion Financial Strategies, decided to become an adviser after working as a nurse, teacher, and employee and contractor with the Defense Department.
The San Diego-based firm reassured clients and investors about the viability of the company moving forward in a blog post Monday, and sent a heartfelt message to the 18 employees that were let go.
Ryan McHugh and his team will join RBC's branch in Bend, Oregon.
No details about closing branches or offices of Wells Fargo Advisors locations were included in the filing with the Securities and Exchange Commission.
Best execution has become a regulatory priority for Finra and the SEC in the wake of the January 2021 GameStop trading frenzy.
The three-year partnership provides FPA members with access to services including Carson Coaching's online platform and its on-demand coaching.
Often advisers have a backstory or personal connection that allows them to understand the needs of their core clientele, and that 'why' is where they get the chance to set themselves apart.
