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SEC Chair Gensler fires back at GOP critics
FINTECH SEP 12, 2023
SEC Chair Gensler fires back at GOP critics

Leader accused of proposing regulations that are ‘sowing discord and confusion.'

Wall Street weighs pros and cons of AI as Washington gets to work
FINTECH SEP 12, 2023
Wall Street weighs pros and cons of AI as Washington gets to work

What is the wealth management industry doing to maximize the positives of AI, while protecting against its potentially destructive purposes?

SEC hits YieldStreet with $1.9M penalty linked to shipping investment
ALTERNATIVES SEP 12, 2023
SEC hits YieldStreet with $1.9M penalty linked to shipping investment

YieldStreet failed to disclose heightened risk, according to the SEC.

The latest in financial #AdvisorTech — September 2023
FINTECH SEP 12, 2023
The latest in financial #AdvisorTech — September 2023

This month’s highlights include WiserAdvisor’s acquisition of IndyFin, Joe Duran’s new venture, and Onramp Invest’s acquisition by Securitize and what that suggests about advisors’ interest in recommending cryptocurrencies to clients.

The role advisors play in their clients' lives
OPINION SEP 12, 2023
The role advisors play in their clients' lives

The deepest impact advisors make is guiding clients through the various seasons of life.

Does low knowledge of annuities help explain low adoption among advisors?
OPINION SEP 12, 2023
Does low knowledge of annuities help explain low adoption among advisors?

As advisors' knowledge about annuities increases, so does their perception of these products.

Nine RIA firms fined $850K by SEC for marketing rule violations
PRACTICE MANAGEMENT SEP 12, 2023
Nine RIA firms fined $850K by SEC for marketing rule violations

The firms were caught in a sweep wrongly advertising hypothetical performance.

Homrich Berg announces C-suite change
RIAS SEP 12, 2023
Homrich Berg announces C-suite change

Thomas Carroll to replace Andy Berg at the RIA's helm in 2024.

Wealthtender announces acquisition of AGC
FINTECH SEP 12, 2023
Wealthtender announces acquisition of AGC

The partnership will provide financial advisors with digital marketing tools and access to a community of peers.

What problems? Violations in NASAA sweep exams fall dramatically
PRACTICE MANAGEMENT SEP 11, 2023
What problems? Violations in NASAA sweep exams fall dramatically

States found lower rates of problems with investment advisors across numerous categories.

Goldman confirms rumors of Laurence Stein's departure
PRACTICE MANAGEMENT SEP 11, 2023
Goldman confirms rumors of Laurence Stein's departure

Goldman’s executive vice president and chief operating officer of its asset and wealth management division is retiring amid a wave of changes at the firm.

Staying home to raise kids has retirement repercussions, study finds
RETIREMENT PLANNING SEP 08, 2023
Staying home to raise kids has retirement repercussions, study finds

Women should ensure spouse's wealth is aligned to long-term goals of both, says Schwab Wealth Advisory director.

AssetMark CEO Natalie Wolfsen leaves for top job at Orion
FINTECH SEP 08, 2023
AssetMark CEO Natalie Wolfsen leaves for top job at Orion

As Wolfsen succeeds founder Eric Clarke as CEO of Orion, AssetMark announces she will be replaced by Michael Kim, a 13-year veteran of the company.

Flourish Cash increases FDIC coverage, interest rate to meet advisor demand
FINTECH SEP 08, 2023
Flourish Cash increases FDIC coverage, interest rate to meet advisor demand

Independent advisors can use Flourish to offer clients 5% APY on cash and up to $10 million in FDIC insurance.

Goldman underperformers could be out next month
PRACTICE MANAGEMENT SEP 08, 2023
Goldman underperformers could be out next month

The Wall Street bank is likely to shed 1% to 5% of its workforce in annual review.

Vetting fund managers on DEI: Why it matters
PRACTICE MANAGEMENT SEP 07, 2023
Vetting fund managers on DEI: Why it matters

Diversity, equity and inclusion is increasingly important to many advisors and their clients.

Two startups merge into $1.2 billion digital family office
FINTECH SEP 07, 2023
Two startups merge into $1.2 billion digital family office

Compound, a financial and tax advisory service for tech executives, is joining Alternativ Wealth, a digital RIA, to form Compound Planning.

Osaic nabs veteran Wells Fargo group managing $600 million in Michigan
BROKER DEALERS SEP 07, 2023
Osaic nabs veteran Wells Fargo group managing $600 million in Michigan

Labor Day weekend is a traditional time for financial advisors to leave one firm and be recruited by another.

Create a Sustainable Practice by Developing New Talent
PRACTICE MANAGEMENT SEP 07, 2023
Create a Sustainable Practice by Developing New Talent

If you’re looking to scale your business or build a lasting legacy, you’ll want to expand your thinking and formulate a plan for more than just adding new clients. One thing to consider for long-term growth is hiring an associate advisor.

Commonwealth expands Talent Exchange Initiative
PRACTICE MANAGEMENT SEP 06, 2023
Commonwealth expands Talent Exchange Initiative

The firm aims to connect its advisors with a new generation of talent.