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LPL's Andy Kalbaugh to retire in early 2021
BROKER DEALERS AUG 14, 2020
LPL's Andy Kalbaugh to retire in early 2021

The executive has led the firm's national sales and consulting

Listening for the stories that drive client behavior
OPINION AUG 13, 2020
Listening for the stories that drive client behavior

Once we're conscious of the stories we’re working with, we’re in a better position to question, and if necessary, rewrite them

McCann stepping down at UBS
PRACTICE MANAGEMENT AUG 13, 2020
McCann stepping down at UBS

After joining from Merrill Lynch in 2009, he was credited with injecting new life into UBS' U.S. wealth management business

Remote work trend drives performance of thematic ETFs
PRACTICE MANAGEMENT AUG 13, 2020
Remote work trend drives performance of thematic ETFs

Exchange-traded funds that focus on cloud computing and cybersecurity are having a good year

Securities America team managing $800 million moves to LPL
BROKER DEALERS AUG 13, 2020
Securities America team managing $800 million moves to LPL

Equitrust Financial Group has five advisers and is based in Deerfield, Illinois

Fidelity launches digital fixed-income trading tool for advisers
FINTECH AUG 13, 2020
Fidelity launches digital fixed-income trading tool for advisers

Bond Beacon integrates existing technology allowing advisers to manage pre-trade, at-trade and post-trade fixed-income holdings via one interface

SEC highlights compliance risks amplified by pandemic
PRACTICE MANAGEMENT AUG 12, 2020
SEC highlights compliance risks amplified by pandemic

The regulator wants firms to beef up supervision of remote workers and increase controls on fees and expenses

Financial planning profession making great strides to develop diversity
OPINION AUG 12, 2020
Financial planning profession making great strides to develop diversity

While the industry's efforts are admirable, there is still more that firms can do

Wealth management to spend $24 billion on tech annually by 2023: Study
FINTECH AUG 12, 2020
Wealth management to spend $24 billion on tech annually by 2023: Study

Priorities include digital onboarding, cybersecurity and biometric authentication

Workers need more help with retirement plans: Report
RETIREMENT PLANNING AUG 12, 2020
Workers need more help with retirement plans: Report

401(k) providers improved service overall this year — but not when it comes to communicating about COVID-19, according to Cogent

Merrill puts trainees’ sales efforts on hold
PRACTICE MANAGEMENT AUG 12, 2020
Merrill puts trainees’ sales efforts on hold

Calls by adviser newbies were violating compliance rules, report says

Pandemic behind 401(k) sales slump, client retention bump
RETIREMENT PLANNING AUG 12, 2020
Pandemic behind 401(k) sales slump, client retention bump

Plan sponsors were slow to change record keepers during the second quarter and some even waived fees, according to Principal Financial Group

Three UBS advisers managing $1 billion move to Stifel
BROKER DEALERS AUG 12, 2020
Three UBS advisers managing $1 billion move to Stifel

The team of Gary Bice and Michael Leach and a solo adviser, John Prebay, join in Southfield, Michigan

The real risk of bonds
OPINION AUG 12, 2020
The real risk of bonds

Stretching for yield in this interest-rate environment is a recipe for disaster

When a spouse passes away
OPINION AUG 11, 2020
When a spouse passes away

Five key steps clients can take to move forward financially after losing a spouse

Clients need 'life guides' for retirement — not just investment advice
RETIREMENT PLANNING AUG 11, 2020
Clients need 'life guides' for retirement — not just investment advice

A long, successful retirement includes purpose, family, health, and of course, money, according to panelists at the InvestmentNews Retirement Income Summit

Morgan Stanley team managing $675 million moves to RBC
BROKER DEALERS AUG 11, 2020
Morgan Stanley team managing $675 million moves to RBC

The four-adviser group in Beverly Hills, California, cites RBC's affiliation with City National

Merrill Lynch launches Personal Wealth Analysis for advisers
FINTECH AUG 11, 2020
Merrill Lynch launches Personal Wealth Analysis for advisers

The wirehouse integrated its legacy planning and portfolio analysis tools into a redesigned interface for advisers

We can no longer settle for a ‘DMV’ portal experience
OPINION AUG 11, 2020
We can no longer settle for a ‘DMV’ portal experience

Use of advisory firm portals has risen 20% since the pandemic began

Robo-adviser accounts surge during pandemic: Report
FINTECH AUG 10, 2020
Robo-adviser accounts surge during pandemic: Report

Digital advice providers were well positioned to transfer to remote work resulting in an increase in new business