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Fintech, direct indexing are bringing ESG into focus
FINTECH NOV 24, 2021
Fintech, direct indexing are bringing ESG into focus

Research shows technology and customization are helping investors deal with the lack of clarity in the ESG space.

LPL reels in $500 million team from Lincoln Financial Advisors
PRACTICE MANAGEMENT NOV 23, 2021
LPL reels in $500 million team from Lincoln Financial Advisors

Clearview Wealth Partners is led by managing partners and co-founders Bill Roland and Jim Westermeyer. The team is aligned with The Financial Services Network, an existing LPL large enterprise.

Rep managing $500 million boomerangs to RBC
PRACTICE MANAGEMENT NOV 23, 2021
Rep managing $500 million boomerangs to RBC

Financial adviser Christopher Andreach returned to the regional bank after just a two-month stint at UBS Group.

Caregivers in the spotlight
RETIREMENT PLANNING NOV 23, 2021
Caregivers in the spotlight

November is National Family Caregivers Month, celebrating the more than 53 million people in the U.S. who currently provide unpaid care to a relative or friend.

5 ideas for holiday gifts for clients
OPINION NOV 22, 2021
5 ideas for holiday gifts for clients

Give things that are personal and positive. Personal demonstrates your thoughtfulness, and frankly, we all need as much positivity as we can get these days.

SEC warns of widespread issues with robo-advice
FINTECH NOV 22, 2021
SEC warns of widespread issues with robo-advice

The agency issued a risk alert and deficiency letters to almost all of the robo-advisers examined, citing shortcomings in how the companies manage portfolios and disclose conflicts. The alert could signal future enforcement actions.

Big questions out there for Advisor Group
PRACTICE MANAGEMENT NOV 22, 2021
Big questions out there for Advisor Group

Advisor Group last week lost a star financial adviser, Kevin Myeroff. That's always a delicate time for a broker-dealer network.

Citi to hire 100 for push into digital assets
ALTERNATIVES NOV 22, 2021
Citi to hire 100 for push into digital assets

As part of the effort, the bank tapped Puneet Singhvi to be its new head of digital assets inside the institutional clients group.

The latest in financial #AdviserTech — November 2021
FINTECH NOV 22, 2021
The latest in financial #AdviserTech — November 2021

This month’s #AdviserTech roundup includes Schwab’s announcement of a direct indexing initiative, Fidelity’s launch of real-time fractional share trading, and Addepar’s acquisition of AdvisorPeak.

Vulnerable women represent opportunity for women advisers
WOMEN ADVISOR COMMUNITY NOV 19, 2021
Vulnerable women represent opportunity for women advisers

Women going through a difficult life transition, such as a divorce, often want to turn to other women for financial advice, said Stacy Francis, chief executive of Francis Financial.

Kestra, Cetera report solid recruiting in third quarter
PRACTICE MANAGEMENT NOV 19, 2021
Kestra, Cetera report solid recruiting in third quarter

Kestra Financial added advisers with $2.3 billion in assets under management during the third quarter, while Cetera Financial Group recruited advisers with $2.4 billion in assets.

IRS expects crypto seizures worth billions of dollars in 2022
ALTERNATIVES NOV 19, 2021
IRS expects crypto seizures worth billions of dollars in 2022

The agency seized $3.5 billion worth of cryptocurrencies in fiscal 2021, accounting for 93% of all assets seized, and an IRS official says he expects that trend to continue next year.

Want your RIA to grow? Put people first
PRACTICE MANAGEMENT NOV 18, 2021
Want your RIA to grow? Put people first

When advisers are looking for growth, they should embrace those 'touchy-feely' conversations some may not value, say panelists at the Women Adviser Summit.

Morgan Stanley wants more diverse young hires
PRACTICE MANAGEMENT NOV 18, 2021
Morgan Stanley wants more diverse young hires

The firm is announcing an initiative, the Equity Collective, in which wealth and asset management firms commit to working with career-focused community organizations to reach young people from more diverse backgrounds.

CFP’s Center for Financial Planning joins Financial Alliance for Racial Equality
PRACTICE MANAGEMENT NOV 17, 2021
CFP’s Center for Financial Planning joins Financial Alliance for Racial Equality

FARE, a partnership between financial services firms and associations and historically Black colleges and universities, plans to fund a scholarship next year to help people of color earn the CFP designation.

Robo-advisers brace portfolios for rising inflation
EQUITIES NOV 17, 2021
Robo-advisers brace portfolios for rising inflation

As the stock market slowed in the third quarter, investors continued to process multiple market influences underscored by supply chain disruptions and pent-up demand from reopening economies.

A tale of two advisers, and why boldness wins
OPINION NOV 17, 2021
A tale of two advisers, and why boldness wins

To stand out in the sea of sameness, you need to be willing to be different.

Closing the financial literacy gap
OPINION NOV 17, 2021
Closing the financial literacy gap

Financial advisers are uniquely qualified to become a part of the solution to this crisis by helping to bridge the financial literacy gap.

InvestCloud is considering an IPO in 2022
FINTECH NOV 17, 2021
InvestCloud is considering an IPO in 2022

The company, which is projected to have more than $400 million in revenue next year, could command a valuation of $8 billion to $10 billion, based on comparable multiples of other companies.

Wealthfront explores potential sale
FINTECH NOV 17, 2021
Wealthfront explores potential sale

A transaction could value the robo-adviser, which has drawn interest from banks and special purpose acquisition companies, at as much as $1.5 billion.