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Tyrone Ross resigns as CEO of Onramp Invest
RIAS MAR 01, 2022
Tyrone Ross resigns as CEO of Onramp Invest

Co-founder Eric Ervin, who's taking over as CEO, alludes to the 'stresses of dual leadership' in an email to investors.

Citigroup is latest bank to be probed over unapproved messaging services
PRACTICE MANAGEMENT MAR 01, 2022
Citigroup is latest bank to be probed over unapproved messaging services

The SEC is probing Citigroup Global Markets Inc. and other firms over communications sent over unapproved electronic messaging channels.

UBS revamps unit for wealthiest clients
PRACTICE MANAGEMENT MAR 01, 2022
UBS revamps unit for wealthiest clients

The business group formerly known as the Global Family Office is being folded into a larger unit in an effort to link the bank's work serving billionaires more closely to its investment banking business.

Commonwealth creates ‘rent-an-admin’ program
PRACTICE MANAGEMENT FEB 28, 2022
Commonwealth creates ‘rent-an-admin’ program

Advisers are matched with an administrative person who acts as a part-time staff member for the duration of a six-month agreement.

Envestnet is reportedly up for sale — again
FINTECH FEB 28, 2022
Envestnet is reportedly up for sale — again

The fintech is reportedly being shopped around to private equity firms in what could potentially become one of the largest wealthtech deals to date.

Wealthtech funding had 'record-shattering' 2021
RIAS FEB 28, 2022
Wealthtech funding had 'record-shattering' 2021

The world’s largest firms are betting that new tools from wealthtech providers, ranging from AI to robotic process automation and blockchain systems, can help slash costs while increasing assets.

Some memorable exchanges with clients
OPINION FEB 28, 2022
Some memorable exchanges with clients

In the course of working with clients on financial planning, some are comfortable enough to talk about parts of their personal lives.

Q&A: Wellington Management's Wendy Cromwell
ESG FEB 28, 2022
Q&A: Wellington Management's Wendy Cromwell

Head of sustainable investing shares how the firm integrates ESG and works with companies to decarbonize.

Have financial adviser, will travel
RIAS FEB 25, 2022
Have financial adviser, will travel

Jake Northrup caters to upper-income clients who don't subscribe to a 9-to-5, work-till-you're-65 mindset.

Small advisory firms need tech, too
FINTECH FEB 25, 2022
Small advisory firms need tech, too

Small to midsize wealth management firms are more likely to purchase third-party tools than their wirehouse counterparts.

Goldman probed by SEC over messages sent using unapproved services
PRACTICE MANAGEMENT FEB 25, 2022
Goldman probed by SEC over messages sent using unapproved services

In December, the SEC and CFTC imposed $200 million in fines on JPMorgan Chase over messaging apps.

5 essentials to secure the best valuation for your firm
OPINION FEB 25, 2022
5 essentials to secure the best valuation for your firm

If you're thinking of selling, you should be considering factors like the rate at which your firm is growing, your relationship with your employees, the age of your clients and the state of your tech stack.

Firms outline DEI efforts for Black History Month
PRACTICE MANAGEMENT FEB 25, 2022
Firms outline DEI efforts for Black History Month

Financial services companies recognize Black History Month, and DiversityQ has guidance for being a better ally.

Gold emerges once again as rock of stability amid market unrest
ALTERNATIVES FEB 24, 2022
Gold emerges once again as rock of stability amid market unrest

The precious metal is up 4.3% this year, which compares to the 11% drop in the S&P 500 Index.

Financial steps to help close the racial wealth gap
OPINION FEB 24, 2022
Financial steps to help close the racial wealth gap

While the Covid-19 pandemic brought financial challenges for many Americans, African Americans and people of color faced more financial emergencies with fewer economic resources.

Financial advisers downplay geopolitical unrest while preparing for the worst
RIAS FEB 24, 2022
Financial advisers downplay geopolitical unrest while preparing for the worst

Financial markets are reacting to Russia's invasion of Ukraine, while market watchers dissect the bigger picture.

Credit union managing $245 million goes to Raymond James
BROKER DEALERS FEB 24, 2022
Credit union managing $245 million goes to Raymond James

A solo adviser, along with seven staff members, runs the First Community Credit Union program in Houston, which had been affiliated with CUNA Brokerage Services.

CFA Institute unveils DEI code for investment firms
PRACTICE MANAGEMENT FEB 24, 2022
CFA Institute unveils DEI code for investment firms

Only a small proportion of the financial services industry includes women and minorities, something the organization would like to change.

Betterment pushes into student loan debt with new tools
RETIREMENT PLANNING FEB 23, 2022
Betterment pushes into student loan debt with new tools

In the company’s first foray into the 529 space, the Student Loan Management platform allows workers with a Betterment 401(k) to view their loans alongside their other financial accounts.

Advisers aid widows, fire victims, domestic violence survivors through pro bono work
PRACTICE MANAGEMENT FEB 23, 2022
Advisers aid widows, fire victims, domestic violence survivors through pro bono work

The Financial Planning Association says its members increased the hours they spent providing services to at-risk populations by 18% last year.