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Schwab to investigate harassment claim made by former employee
PRACTICE MANAGEMENT SEP 30, 2021
Schwab to investigate harassment claim made by former employee

A discussion about what to wear on a casual Friday took an ugly turn, according to the former TD Ameritrade employee. CEO Walt Bettinger said harassment is unacceptable, and the firm will investigate the claims.

3 drivers of record M&A activity
OPINION SEP 30, 2021
3 drivers of record M&A activity

With valuations of financial planning and wealth management shops at record highs and private equity focusing on the space, it would seem prudent for firms to at least research their options.

Avantax practices managing $350 million move to Cetera
BROKER DEALERS SEP 30, 2021
Avantax practices managing $350 million move to Cetera

Veteran advisers in Oklahoma and Utah affiliate with Cetera through Texas-based Farpointe Wealth Partners.

The latest in financial #AdviserTech — September 2021
FINTECH SEP 30, 2021
The latest in financial #AdviserTech — September 2021

This month's #AdviserTech roundup includes Riskalyze’s recapitalization, RightCapital’s launch of retirement decumulation tools, Veriti’s crossing $1 billion of AUM, and American Express partnering with BodesWell to return to the financial planning business 16 years after spinning off Ameriprise.

Morgan Stanley trio managing $315 million joins Raymond James
PRACTICE MANAGEMENT SEP 29, 2021
Morgan Stanley trio managing $315 million joins Raymond James

The team, including James Wendling, Steven VanDerSchaaf andClint Allman, have moved to the employee unit of Raymond James in Davenport, Iowa.

Betterment tops $1.3 billion valuation with latest funding
FINTECH SEP 29, 2021
Betterment tops $1.3 billion valuation with latest funding

The $160 million round is the largest to date for the leading independent robo-adviser. The latest influx will be used to accelerate its business-to-business arms, particularly its 401(k) offering.

Mobile adviser dashboard? There’s a Merrill app for that
FINTECH SEP 29, 2021
Mobile adviser dashboard? There’s a Merrill app for that

Merrill Lynch rolls out a new mobile app for advisers to access all the information on their adviser dashboard via their smartphones.

Avantax team managing $400 million switches to LPL
PRACTICE MANAGEMENT SEP 29, 2021
Avantax team managing $400 million switches to LPL

First Legacy Wealth Management affiliates through JFC Advisor Network. The advisory firm is based in San Angelo and Big Spring, Texas.

Trio managing $500 million at Truist joins Raymond James
PRACTICE MANAGEMENT SEP 29, 2021
Trio managing $500 million at Truist joins Raymond James

The three-person Truist team includes Charles Mintz, Timothy Gray and Wren Mintz, and is moving to the employee unit of Raymond James.

Finra set to increase requirements for private placements
PRACTICE MANAGEMENT SEP 28, 2021
Finra set to increase requirements for private placements

The self-regulator will require brokerages to file retail communications related to the sales of unregistered securities in addition to the offering document.

The next evolution of Monte Carlo analysis
OPINION SEP 28, 2021
The next evolution of Monte Carlo analysis

Advances in technology and the deployment of Monte Carlo in financial planning means these solutions can support advisers creating stronger, more personalized financial plans.

Dealing with challenging clients
OPINION SEP 28, 2021
Dealing with challenging clients

Deep-in-debt clients were hoping for a magic solution I didn't have, and didn't appreciate the advice I was able to give them.

Dave Ramsey loses deposition fight in timeshare case
PRACTICE MANAGEMENT SEP 27, 2021
Dave Ramsey loses deposition fight in timeshare case

A state judge in Tennessee, where Ramsey Solutions is based, granted a motion to compel Ramsey's deposition in the Timeshare Exit Team case.

Mercer acquires $240 million RIA
PRACTICE MANAGEMENT SEP 27, 2021
Mercer acquires $240 million RIA

Miller Advisors is a mother-and-daughter advisory team based in Kirkland, Washington.

LPL lands $675 million team from MassMutual
BROKER DEALERS SEP 27, 2021
LPL lands $675 million team from MassMutual

Polaris is headed by partners Corey Basehore and Justin Dunwoody and includes adviser Sarah Leer, two junior advisers and a nine-member office staff.

Managing operational risks at growing advisory firms
OPINION SEP 27, 2021
Managing operational risks at growing advisory firms

As changes bring about increased risks, RIAs need to recognize that insurance is a vital component of their risk management strategy.

Return of live events is a welcome step forward
PRACTICE MANAGEMENT SEP 27, 2021
Return of live events is a welcome step forward

The challenge now is for organizers to make even more people feel safe enough to return in person.

Protecting client data in account aggregation
FINTECH SEP 24, 2021
Protecting client data in account aggregation

It’s up to advisers to communicate with investors who need help with understanding the management of risk across multiple accounts.

Want a tattoo of your favorite ticker? 1.1 million new investors say yes
FINTECH SEP 24, 2021
Want a tattoo of your favorite ticker? 1.1 million new investors say yes

A new survey by Public, a next gen-focused investing app, researched the behaviors and motives of millennial and Gen Z investors. The majority of respondents started investing in the past three years.

Adviser's cross-border niche targets Canadians moving south, and vice versa
RIAS SEP 24, 2021
Adviser's cross-border niche targets Canadians moving south, and vice versa

Cardinal Point Wealth Management targets Canadian snowbirds, but found a rich market of clients needing cross-border advice.