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Wells Fargo taps senior female executive for new wealth management role
PRACTICE MANAGEMENT SEP 10, 2021
Wells Fargo taps senior female executive for new wealth management role

Heather Hunt-Ruddy previously held the role of head of business development and is remembered by some financial advisers for an apt analogy about Tater Tots.

Mobile apps teach college students to tackle spending habits — and debt
OPINION SEP 10, 2021
Mobile apps teach college students to tackle spending habits — and debt

With students facing significant debt when they graduate, financial service providers can use technology to create a sense of empowerment around financial management for young adults.

Why Wall Street just isn't Wall Street anymore
PRACTICE MANAGEMENT SEP 10, 2021
Why Wall Street just isn't Wall Street anymore

The Covid-19 pandemic has caused many to question the need to work in or continue their professional lives in Manhattan. Advances in technology have made working in an office in or close to Manhattan less important.

Cresset nabs J.P. Morgan advisers managing $2 billion
RIAS SEP 09, 2021
Cresset nabs J.P. Morgan advisers managing $2 billion

Five advisers from the Denver office of the firm's private bank make a move.

Merrill spiffs up broker workstation, adds client banking information
FINTECH SEP 09, 2021
Merrill spiffs up broker workstation, adds client banking information

The change in the broker workstation is part of a broad effort, dubbed internally Project Thunder, to make work life a little bit easier and more comfortable for Merrill's advisers.

Rocket Dollar IRA platform raises $8 million
RETIREMENT PLANNING SEP 09, 2021
Rocket Dollar IRA platform raises $8 million

The Series A funding round aims to increase the use of alternatives such as real estate and private equities in retirement accounts.

Northwestern rep overseeing $380 million goes indie with LPL
BROKER DEALERS SEP 09, 2021
Northwestern rep overseeing $380 million goes indie with LPL

John Vande Bossche leads the six-person team in Anaheim, California, that includes his wife, son and daughter.

Embedded investing and why it works
OPINION SEP 08, 2021
Embedded investing and why it works

Professionally managed portfolios that are accessible inside of consumer apps will give consumers their first taste of investing via a long-term-focused offer — perhaps coupled with education and bite-sized planning.

AssetMark adds a dozen SMAs to the platform
FINTECH SEP 08, 2021
AssetMark adds a dozen SMAs to the platform

The turnkey asset management platform is working to help advisers meet the growing demand from clients for access and personalization via different investment options.

Wells Fargo adviser managing $190 million joins Baird
PRACTICE MANAGEMENT SEP 08, 2021
Wells Fargo adviser managing $190 million joins Baird

Margaret Wilkin is joining a Baird office in Roseville, California.

Adviser managing $300 million at Morgan Stanley joins LPL
BROKER DEALERS SEP 08, 2021
Adviser managing $300 million at Morgan Stanley joins LPL

Francis Ciocari is affiliating with the firm through super OSJ Gladstone Wealth Partners and will be opening an office in Blue Bell, Pennsylvania.

Prepping fintech platforms for the next cyberattack
FINTECH SEP 08, 2021
Prepping fintech platforms for the next cyberattack

It’s critical for fintech firms to have incident response plans if a catastrophic event and subsequent cyberattack were to happen.

SEC marketing rule causes advisers most compliance concerns
RIAS SEP 07, 2021
SEC marketing rule causes advisers most compliance concerns

Even though advisers don’t have to comply with the rule for more than a year, it ranked as the hottest compliance topic, according to a survey; cybersecurity and climate change/ESG were other areas worrying advisers.

San Francisco 49ers push finlit with robo-adviser Stash
FINTECH SEP 07, 2021
San Francisco 49ers push finlit with robo-adviser Stash

The NFL franchise will expose Stash’s financial literacy programs to 6 million fans via social media and 11 million viewers that watch the team during a broadcasted game.

LPL grabs former Voya team with $400 million in assets
BROKER DEALERS SEP 07, 2021
LPL grabs former Voya team with $400 million in assets

LPL made clear it was eyeing Voya financial advisers after Cetera Financial Group Inc. said it was buying the firm in February.

Great service is assumed. A full client experience is not
OPINION SEP 07, 2021
Great service is assumed. A full client experience is not

Rather than focusing on servicing clients, think instead of creating a great client experience — something that's very different.

Advisory Back Offices: The Next Efficiency Frontier
FINTECH SEP 07, 2021
Advisory Back Offices: The Next Efficiency Frontier

The time is right to focus on back-office efficiency. Docupace’s Ryan George explains why the payoff in efficiency, better customer service and reduced costs can so rewarding.

Why Michael Jordan invested in estate planning startup Vanilla
RETIREMENT PLANNING SEP 07, 2021
Why Michael Jordan invested in estate planning startup Vanilla

The basketball legend is among the investors participating in an $11.6 million funding round for Vanilla, which was founded by Steve Lockshin in 2019 to fully digitize estate planning for registered investment advisers.

NextCapital co-founder steps down
RETIREMENT PLANNING SEP 07, 2021
NextCapital co-founder steps down

Rob Foregger, who led the establishment of the fintech firm in 2013, left his day-to-day responsibilities at the company in May, but is still a shareholder and adviser.

How the advisory industry has been preparing for the next 9/11 event
FINTECH SEP 07, 2021
How the advisory industry has been preparing for the next 9/11 event

In the two decades since 9/11, the financial industry has been preparing for the next terrorist attack, in whatever form it might take.