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American Century rigs hiring at its employees' expense
PRACTICE MANAGEMENT AUG 27, 2021
American Century rigs hiring at its employees' expense

I thought we were all supposed to be free-wheeling capitalists in the financial advice industry — unless you recently worked for mutual fund giant American Century Companies and at least one of its local competitors.

Budgeting app Douugh launches robo advice
FINTECH AUG 27, 2021
Budgeting app Douugh launches robo advice

The robo-adviser allows users to choose between six types of portfolios using exchange-traded funds that are curated by investment experts.

As Covid cancels industry events, advisers weigh  attending what's left
PRACTICE MANAGEMENT AUG 27, 2021
As Covid cancels industry events, advisers weigh attending what's left

FPA is cancelled, but Morningstar is still on track. The industry is on edge over how to proceed in the most responsible fashion possible.

Tired of being on camera? You’re not alone
RETIREMENT PLANNING AUG 27, 2021
Tired of being on camera? You’re not alone

Being on video caused workers to become disengaged and participate less than if they spent the meeting off-camera, a recent study found.

A father-son $500 million duo at Merrill Lynch moves to RBC
PRACTICE MANAGEMENT AUG 27, 2021
A father-son $500 million duo at Merrill Lynch moves to RBC

John and Ryan Birkhauser and their team are based in Lake Forest, Illinois.

Clients both happy and unhappy
OPINION AUG 27, 2021
Clients both happy and unhappy

My happiest client thinks I’m a true investment genius. My unhappiest is, of course, no longer my client.

The latest in financial #AdviserTech — August 2021
FINTECH AUG 26, 2021
The latest in financial #AdviserTech — August 2021

This month's #AdviserTech roundup includes Vanguard’s move into direct indexing, Vestwell’s $70 million capital round, and Simon Markets’ additional funding for its marketplace of risk-hedged investment solutions for advisers.

Women’s Equality Day with former Treasurer Rosie Rios
WOMEN ADVISOR COMMUNITY AUG 26, 2021
Women’s Equality Day with former Treasurer Rosie Rios

Former U.S. Treasurer Rosie Rios is an active example of a leader fighting everyday for women’s inclusion and equity.

Barbara Roper to serve as senior adviser to SEC chair
REGULATION AND LEGISLATION AUG 25, 2021
Barbara Roper to serve as senior adviser to SEC chair

Gary Gensler calls consumer advocate Roper 'a champion for investors'; she has worked for 35 years at the Consumer Federation of America.

Franklin Templeton builds on its tech for 401(k) managed accounts
RETIREMENT PLANNING AUG 25, 2021
Franklin Templeton builds on its tech for 401(k) managed accounts

The company recently announced partnerships with Stadion and vWise for its Goals Optimization Engine.

Riskalyze lands private equity funding from HG Capital
FINTECH AUG 25, 2021
Riskalyze lands private equity funding from HG Capital

The firm’s leadership team, employee base and brand will all remain unchanged, according to CEO Aaron Klein. The deal is a part of a larger strategy to increase growth and innovation at the firm.

Wells Fargo duo managing $235 million go indie
BROKER DEALERS AUG 25, 2021
Wells Fargo duo managing $235 million go indie

The two advisers are affiliating with LPL Financial through its service for breakaway brokers.

LPL, Commonwealth start to gain traction with wirehouse reps
BROKER DEALERS AUG 24, 2021
LPL, Commonwealth start to gain traction with wirehouse reps

For decades, the prevailing wisdom among recruiters and industry executives has been that wirehouse advisers are far less likely to move to independent broker-dealers than other advisers.

The sky's the limit for an adviser dedicated to working with airline pilots
RIAS AUG 24, 2021
The sky's the limit for an adviser dedicated to working with airline pilots

Bob Warner's focus on airline pilots is a model for how niche practices can develop and thrive. His $15 billion RIA has been building relationships with pre-retired pilots for more than two decades.

Finding ROI in the adviser tech stack
FINTECH AUG 24, 2021
Finding ROI in the adviser tech stack

Tech providers must solve the lack of integration between software applications so advisers can find return on investment in high-quality tech investments.

Skip Schweiss named CEO at Sierra Group
PRACTICE MANAGEMENT AUG 24, 2021
Skip Schweiss named CEO at Sierra Group

Schweiss stepped down as president of TD Ameritrade Trust Co. and managing director of advisor advocacy in 2020, after 12 years with the company.

Getting a handle on your head trash
PRACTICE MANAGEMENT AUG 24, 2021
Getting a handle on your head trash

Head trash is a negative belief you hold about yourself, your abilities or the world. We’re not even aware these negative thoughts are in control.

FPA cancels annual conference in September
RIAS AUG 24, 2021
FPA cancels annual conference in September

Citing a surge in the delta variant, the Financial Planning Association is offering registration refunds and providing advisers with access to free virtual presentations to earn CE credits.

Burt White to retire from LPL Financial
BROKER DEALERS AUG 23, 2021
Burt White to retire from LPL Financial

After 14 years as the firm's chief investment officer, Burt White is retiring in March, according to a company announcement. LPL, now with more than 19,000 affiliated financial advisers, is currently looking for a replacement.

Bitcoin mining is an 'existential threat' to crypto
ALTERNATIVES AUG 23, 2021
Bitcoin mining is an 'existential threat' to crypto

The process of mining cryptocurrency sops up more energy than entire nations. Lawmakers like Elizabeth Warren, and billionaires like Bill Gates, have recently called attention to the environmental impacts.