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Go big or go boutique?
OPINION OCT 03, 2023
Go big or go boutique?

Here are questions financial advisors should consider before making a move.

Advisors increasingly rely on home office models, survey says
RIAS OCT 02, 2023
Advisors increasingly rely on home office models, survey says

With more allocation tools at their disposals, advisors are focusing on planning and growing their businesses, Fuse finds.

Boomer women are leading when it comes to wealth
WOMEN ADVISOR COMMUNITY OCT 02, 2023
Boomer women are leading when it comes to wealth

Haleh Moddasser shares her experiences as a boomer woman ahead of the Women Advisor Summit.

Portals are good for clients and for you, FPA study reveals
FINTECH OCT 02, 2023
Portals are good for clients and for you, FPA study reveals

Financial planners and the right tech can be a powerful combination.

Morgan Stanley raising pay hurdle for its financial advisors in 2024
PRACTICE MANAGEMENT SEP 29, 2023
Morgan Stanley raising pay hurdle for its financial advisors in 2024

'It's a tug of war. The firms want to keep more revenue, and the financial advisors want to do the same,' an industry recruiter says.

Wall Street hit with latest wave of fines in SEC WhatsApp probe
FINTECH SEP 29, 2023
Wall Street hit with latest wave of fines in SEC WhatsApp probe

Ten firms, including Baird and Interactive Brokers, agreed to pay penalties totaling $79 million for employees' use of unmonitored communications channels on the job.

Diverse clients need one thing more than anything from financial institutions
PRACTICE MANAGEMENT SEP 29, 2023
Diverse clients need one thing more than anything from financial institutions

But many wealth professionals believe it is not being delivered.

Recent IPO wave has advisors talking tech, venture capital with clients
PRACTICE MANAGEMENT SEP 28, 2023
Recent IPO wave has advisors talking tech, venture capital with clients

IPOs like Instacart, Klaviyo and Arm Holdings may be struggling to sustain their post-debut gains, but they're still sparking conversations between advisors and clients.

Farther closes Series B funding round to gain $131M valuation
FINTECH SEP 28, 2023
Farther closes Series B funding round to gain $131M valuation

Wealthtech firm is also closing in on $1B AUM thanks to fast growth in 2023.

Account fees, bonuses likely topics at Thursday's Cetera, Avantax confab
BROKER DEALERS SEP 27, 2023
Account fees, bonuses likely topics at Thursday's Cetera, Avantax confab

A $60-per-account fee and retention bonuses are issues that are expected to come up in Cetera senior execs' meeting with Avantax advisors.

FPA taps Wealth Enhancement Group's Brahim as president-elect
PRACTICE MANAGEMENT SEP 27, 2023
FPA taps Wealth Enhancement Group's Brahim as president-elect

Brahim's 'leadership has been felt at all levels of the association,' says the 2023 FPA president, James Lee.

Making a business out of succession planning
PRACTICE MANAGEMENT SEP 27, 2023
Making a business out of succession planning

Former RIA owner is on a mission to help make financial services less male, white and straight.

Mastering technology to serve more clients
OPINION SEP 27, 2023
Mastering technology to serve more clients

With the advisor shortfall, firms will have to get more accomplished at leveraging tech.

New Jersey chooses Vestwell to administer retirement savings program
RETIREMENT PLANNING SEP 27, 2023
New Jersey chooses Vestwell to administer retirement savings program

Its plan, which will be rolled out in 2024, is the seventh state auto-IRA to partner with the digital record keeper.

Morgan Stanley banker to retire after $850B in real estate deals
PRACTICE MANAGEMENT SEP 27, 2023
Morgan Stanley banker to retire after $850B in real estate deals

Guy Metcalf has been with the Wall Street firm for 33 years.

Balancing centralization and autonomy in a growing RIA  
OPINION SEP 26, 2023
Balancing centralization and autonomy in a growing RIA  

For many growing RIAs, the way to achieve scalability is to have a robust centralized support system in place,

Debt levels, economic concerns forcing Americans to make tough choices
PRACTICE MANAGEMENT SEP 25, 2023
Debt levels, economic concerns forcing Americans to make tough choices

A Thrivent survey finds 53% of respondents would take a job working harder and longer hours to make and save more over making less money, but having more free time to do what they love.

SEC fines Deutsche Bank subsidiary $19M for not keeping ESG promises
PRACTICE MANAGEMENT SEP 25, 2023
SEC fines Deutsche Bank subsidiary $19M for not keeping ESG promises

'The industry deserves to have the scrutiny that’s being placed on it,' says Ethan Powell, founder and CEO of Impact Shares.

LPL recruits $260 million group focusing on 403(b) plans
RETIREMENT PLANNING SEP 25, 2023
LPL recruits $260 million group focusing on 403(b) plans

The diverse practice in Albuquerque, New Mexico, is led by financial advisor Angelo Burns.

The money value of spending time with clients
OPINION SEP 25, 2023
The money value of spending time with clients

Advisors spend twice as much time on investment activities than anything else, which means they could be missing out on important opportunities.