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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

Robinhood outruns rivals in record year for retail investing
FINTECH AUG 10, 2020
Robinhood outruns rivals in record year for retail investing

The trading app is revealing the data for the first time, in the wake of a surge in online dealing among people stuck at home during the coronavirus pandemic

Hybrid managing $150 million switches to LPL from Lincoln Financial
BROKER DEALERS AUG 10, 2020
Hybrid managing $150 million switches to LPL from Lincoln Financial

Minnesota-based Bialke Financial Partners will operate as an arm of American Bank of the North

Interactive Brokers fined $38 million for lapsed money laundering oversight
PRACTICE MANAGEMENT AUG 10, 2020
Interactive Brokers fined $38 million for lapsed money laundering oversight

Finra, along with two other regulators, levied fines against the broker-dealer for widespread system failures

Morgan Stanley team managing $280 million moves to Baird
BROKER DEALERS AUG 10, 2020
Morgan Stanley team managing $280 million moves to Baird

Four-person Fischetti Barry group is based in a suburb of Pittsburgh

Wendy Lanton, Jim Nagengast elected Finra governors
REGULATION AND LEGISLATION AUG 10, 2020
Wendy Lanton, Jim Nagengast elected Finra governors

Lanton represents small firms; Nagengast reelected to represent large firms

Pass it along
RETIREMENT PLANNING AUG 09, 2020
Pass it along

Wealth transfer isn’t just for the well-heeled anymore as business owners and families of wide-ranging income levels embrace the latest strategies to keep intergenerational assets in the family — and out of the hands of the IRS

Face-to-face fades away
OPINION AUG 09, 2020
Face-to-face fades away

The shift to virtual may have been messy, but new ways of working and communicating have become the norm

Come together … virtually
FINTECH AUG 09, 2020
Come together … virtually

Just as we’ve all adapted to new realities elsewhere in business, we’re adapting to the new conference reality