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Robinhood isn't gamifying the markets. It's democratizing them
OPINION DEC 18, 2020
Robinhood isn't gamifying the markets. It's democratizing them

The fintech led a movement to virtually eliminate commissions, cut racial investing disparities in half and dramatically increase stock ownership among investors

Raymond James buys another boutique investment bank
PRACTICE MANAGEMENT DEC 17, 2020
Raymond James buys another boutique investment bank

The deal comes on the heels of the firm's announced purchase of a retirement plan shop

Morgan Stanley duo managing $150 million goes indie with LPL
BROKER DEALERS DEC 17, 2020
Morgan Stanley duo managing $150 million goes indie with LPL

The mother-and-son team of Paulette and Beaux Treguboff affiliate in Glendale, Arizona

3 steps to leverage year-end planning and kick-start 2021
OPINION DEC 17, 2020
3 steps to leverage year-end planning and kick-start 2021

Things that every adviser should consider to make the most of their end-of-year planning

Morgan Stanley rep managing $658 million moves to Alex. Brown
PRACTICE MANAGEMENT DEC 16, 2020
Morgan Stanley rep managing $658 million moves to Alex. Brown

Mark Pomerantz is joining the Raymond James unit in Los Angeles

Morgan Stanley leaves pay plan mostly intact for 2021
PRACTICE MANAGEMENT DEC 16, 2020
Morgan Stanley leaves pay plan mostly intact for 2021

But teams are staring at new hurdles tied to assets, financial plans and online brokerage

LPL offers stay bonuses to Waddell & Reed advisers
BROKER DEALERS DEC 16, 2020
LPL offers stay bonuses to Waddell & Reed advisers

The deals reportedly range from 30% to 50% of an adviser's prior year's revenues

Adviser managing $186 million moves to Voya from Lincoln
PRACTICE MANAGEMENT DEC 16, 2020
Adviser managing $186 million moves to Voya from Lincoln

Adrian Dunuwila of Fayetteville, New York, is joining his son Brendan at Dunuwila Wealth Management

Robinhood accused of manipulating customers by Massachusetts regulator
FINTECH DEC 16, 2020
Robinhood accused of manipulating customers by Massachusetts regulator

The complaint marks the first time the state's fiduciary rule is being used to bring charges against a brokerage firm

UBS snags $9 billion team from J.P. Morgan Private Bank
PRACTICE MANAGEMENT DEC 15, 2020
UBS snags $9 billion team from J.P. Morgan Private Bank

The Atlanta-based team is led by Jeff Lewis, Steve May and John McColskey

Tips for guarding your devices from  cyberattacks
OPINION DEC 15, 2020
Tips for guarding your devices from cyberattacks

Sophisticated cyberthreats and scams are on the rise, making it more important than ever to protect devices

Franklin Templeton partners to launch new robo-adviser Tango
FINTECH DEC 15, 2020
Franklin Templeton partners to launch new robo-adviser Tango

The platform is designed to enable advisers to execute on two major trends this year: hyper personalization and goal-based wealth management

Prep your firm for sale, even if you don't plan to sell
OPINION DEC 15, 2020
Prep your firm for sale, even if you don't plan to sell

Fixing up the business will make your work more enjoyable and your firm more profitable

MassMutual to buy cash management platform Flourish
FINTECH DEC 14, 2020
MassMutual to buy cash management platform Flourish

The acquisition, slated to close early next year, addresses the 2020 industry shift toward technology-enabled financial planning

Wells Fargo duo managing $215 million goes indie with LPL
PRACTICE MANAGEMENT DEC 14, 2020
Wells Fargo duo managing $215 million goes indie with LPL

Lynn Daughtry, Kyle Conger form White Oak Investment Management in Georgia

Wrap up, rest and reset: Getting ready for 2021
OPINION DEC 14, 2020
Wrap up, rest and reset: Getting ready for 2021

Your plan for 2021 should focus heavily on how you are going to market and meet virtually

RIAs see business go south
RIAS DEC 14, 2020
RIAs see business go south

Large registered investment advisers in the Northeast have watched their assets diminish in 2020, even as the broader market reached fresh highs

How is your team doing?
PRACTICE MANAGEMENT DEC 14, 2020
How is your team doing?

The single greatest risk facing employees right now may be mental health, and leaders can do a lot to institute a healthy work-life balance

Diversity, equity and inclusion: Why I care
OPINION DEC 11, 2020
Diversity, equity and inclusion: Why I care

Take steps to get to know other cultures and diverse groups, and learn how you can best support them

Advisers should use 2020 lessons to grow firms next year
PRACTICE MANAGEMENT DEC 11, 2020
Advisers should use 2020 lessons to grow firms next year

Improving communications and tech will be key to adding clients and prospects in 2021, according to InvestmentNews webcast panelists