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3 ways volatility diminishes the value of your firm
OPINION JAN 31, 2022
3 ways volatility diminishes the value of your firm

The impact that market corrections can have on advisory firms' profits makes having the right strategy and doing an exceptional job of implementing it even more important.

The rise of the crypto robo-advisors
ALTERNATIVES JAN 31, 2022
The rise of the crypto robo-advisors

Recent market volatility is making crypto robos more appealing in the traditionally passive world of digital advice.

NewEdge hires UBS team managing $3 billion in South Florida
RIAS JAN 31, 2022
NewEdge hires UBS team managing $3 billion in South Florida

Days after hiring Robert McCann, former UBS chairman for the Americas region, NewEdge announces more UBS veterans are joining the firm.

Who most wants to work with an adviser? Millennials
PRACTICE MANAGEMENT JAN 31, 2022
Who most wants to work with an adviser? Millennials

Millennials are the most optimistic generation, with nearly half saying their quality of life is better or much better over the previous year, study finds.

UBS gets dose of digital disruption
FINTECH JAN 31, 2022
UBS gets dose of digital disruption

CEO Ralph Hamers is on a mission to pull UBS into the digital age, and last week's announcement of the bank's acquisition of robo-adviser Wealthfront was his first move.

CFP Board increased number of scholarships 67% in 2021
PRACTICE MANAGEMENT JAN 28, 2022
CFP Board increased number of scholarships 67% in 2021

The board's Center for Financial Planning provided more than $300,000 in scholarships last year, up from the more than $200,000 it awarded in 2020.

SEC keeps up pressure on private fund advisers
ALTERNATIVES JAN 28, 2022
SEC keeps up pressure on private fund advisers

Under Chairman Gary Gensler, the agency is taking a closer look at private equity, hedge funds.

Adviser's faith-based ESG niche attracts true believers
RIAS JAN 28, 2022
Adviser's faith-based ESG niche attracts true believers

Robert Netzly has maintained his focus on biblically-based financial planning, while keeping his expectations low. The market is finding him.

Lincoln partners with CHIP to broaden access to advice
LIFE INSURANCE AND ANNUITIES JAN 28, 2022
Lincoln partners with CHIP to broaden access to advice

The firm's African American Financial Professionals Network will use tools provided by Changing How Individuals Prosper, an online referral network.

Ask follow-up questions to better serve client needs
OPINION JAN 28, 2022
Ask follow-up questions to better serve client needs

When a client has a request, dig deeper before you take action by asking, 'Why you want to do that?'

Cybersecurity rule would clarify what SEC expects of advisers
FINTECH JAN 27, 2022
Cybersecurity rule would clarify what SEC expects of advisers

A pending proposal likely would focus on strengthening advisory firms' disclosures and their preparedness for cyber risks.

Total number of CFPs, women certificants reach new heights
PRACTICE MANAGEMENT JAN 26, 2022
Total number of CFPs, women certificants reach new heights

The CFP Board also touts last year's growth in Black and Hispanic mark holders, who still represent a small fraction of the CFP population.

UBS buys Wealthfront for $1.4 billion in major push into US market
FINTECH JAN 26, 2022
UBS buys Wealthfront for $1.4 billion in major push into US market

The largest Swiss bank said the acquisition will accelerate its growth in America, broadening the firm’s reach to more mass-affluent investors.

SEC officials urge firms to update compliance to cope with emerging technologies
FINTECH JAN 26, 2022
SEC officials urge firms to update compliance to cope with emerging technologies

The leaders of the agency's enforcement division talk about the message the SEC sent with a $125 million penalty for JPMorgan's failure to preserve text messages.

Sudden market volatility has advisers preaching calm to newer investors
RIAS JAN 26, 2022
Sudden market volatility has advisers preaching calm to newer investors

As the next generation of investors comes on board, advisers are repeating the age-old mantra about not panicking in response to market swings.

EP Wealth Advisors acquires $118 million RIA
RIAS JAN 26, 2022
EP Wealth Advisors acquires $118 million RIA

Klein Financial Advisors, a Newport Beach, California-based RIA, has a strong emphasis on serving women.

UBS buying Wealthfront for $1.4 billion in cash deal
FINTECH JAN 26, 2022
UBS buying Wealthfront for $1.4 billion in cash deal

The acquisition will add more than $27 billion in assets under management and over 470,000 clients in the U.S., the bank said.

The latest in financial #AdviserTech — January 2022 — Part 2
ALTERNATIVES JAN 26, 2022
The latest in financial #AdviserTech — January 2022 — Part 2

The major trends underway in the financial adviser ecosystem, and what those trends portend for the year to come.

Finding confidence on the road to the future
OPINION JAN 26, 2022
Finding confidence on the road to the future

Advisers need to deal with fear in many aspects of their work, whether it's market volatility, the effects of the pandemic or their own concerns about breaking away from a wirehouse.

BofA brings employees back to some U.S. offices as Covid cases decrease
PRACTICE MANAGEMENT JAN 25, 2022
BofA brings employees back to some U.S. offices as Covid cases decrease

As coronavirus conditions improve across the country, employees across major financial firms are being asked to come back.