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LPL adds direct indexing to its model portfolios program
BROKER DEALERS AUG 08, 2023
LPL adds direct indexing to its model portfolios program

The enhancement was announced at the firm's Focus 2023 event over the weekend.

Planning for the possibility of cognitive decline
RETIREMENT PLANNING AUG 07, 2023
Planning for the possibility of cognitive decline

New research shows that mental deterioration hits some groups of retirees harder than others.

Are AUM fees heading toward extinction?
RIAS AUG 07, 2023
Are AUM fees heading toward extinction?

The asset-based model is the default setting for many firms, but more creative thinking is needed to attract the next generation of clients.

Navigating AI’s regulatory challenges
FINTECH AUG 07, 2023
Navigating AI’s regulatory challenges

Like other technologies in the past, AI is bound to reshape the operations of the financial advice industry.

Bill to allow use of 529 funds for advisor credential courses gains more support
PRACTICE MANAGEMENT AUG 04, 2023
Bill to allow use of 529 funds for advisor credential courses gains more support

More certified financial planners will help more people make better decisions with their money, says advisor.

CEO pay falls, but still 271 times higher than median workers'
PRACTICE MANAGEMENT AUG 04, 2023
CEO pay falls, but still 271 times higher than median workers'

Data published by the AFL-CIO reveal the emerging role of AI.

LPL, Ameriprise wade into AI applications for advisors
FINTECH AUG 04, 2023
LPL, Ameriprise wade into AI applications for advisors

'When I left Ameriprise earlier this year, the company was just starting to talk about AI,' one financial advisor said.

Envestnet revenue falls short of expectations in Q2
FINTECH AUG 03, 2023
Envestnet revenue falls short of expectations in Q2

Company did meet Wall Street’s expectations for earnings per share at $0.46 and CEO says he expects the Data and Analytics business to stabilize in the second half of the year.

Galvin launches investigation into brokers' use of AI
FINTECH AUG 03, 2023
Galvin launches investigation into brokers' use of AI

The Massachusetts Secretary of the Commonwealth sent letters to firms including JPMorgan and Morgan Stanley to learn how they are using AI with investors.

State regulators, PIABA continue to resist Finra’s plan for remote supervision  
PRACTICE MANAGEMENT AUG 03, 2023
State regulators, PIABA continue to resist Finra’s plan for remote supervision  

But LPL Financial, Fidelity back the idea of allowing supervisors to work from home, using technology to oversee reps, as they did during the pandemic.

Allworth’s Hanson, McClain stepping down as co-CEOs
RIAS AUG 02, 2023
Allworth’s Hanson, McClain stepping down as co-CEOs

Allworth's board has begun a search for a new chief executive.

Will Elon Musk's X take over financial services? Don't hold your breath
FINTECH AUG 02, 2023
Will Elon Musk's X take over financial services? Don't hold your breath

Advisors raise a collective, skeptical eyebrow as billionaire goes where many other Silicon Valley companies have already tried and failed.

SEC bars another advisor involved in church scam
PRACTICE MANAGEMENT AUG 02, 2023
SEC bars another advisor involved in church scam

Scams involving members of a group such as a church, known as affinity frauds, pose perils for investors, one attorney notes.

Embrace mobile tech or risk being left behind in next demographic shift
OPINION AUG 02, 2023
Embrace mobile tech or risk being left behind in next demographic shift

The use of mobile technology is becoming more deeply ingrained in the advisor-client relationship.

A road map for selling concentrated stock positions
OPINION AUG 02, 2023
A road map for selling concentrated stock positions

If a client's position in a single stock has become untenable, here are five strategies for reducing concentration risk.

Another summer rebrand: CI Private Wealth is now Corient
RIAS AUG 01, 2023
Another summer rebrand: CI Private Wealth is now Corient

'It's a weird little portmanteau,' one marketing executive said.

Goldman wealth exec exits abruptly
PRACTICE MANAGEMENT AUG 01, 2023
Goldman wealth exec exits abruptly

Lisa Opoku, a Goldman partner, had been running the firm's family office for its top brass since last year.

Why are advisors overlooking Peak 65 women's retirement needs?
RETIREMENT PLANNING AUG 01, 2023
Why are advisors overlooking Peak 65 women's retirement needs?

'Advisors better wake up' — study reveals 61- to 65-year-old women are more likely to buy an annuity than men of the same age.

More turnover at top of Wells Fargo brokerage group
PRACTICE MANAGEMENT JUL 31, 2023
More turnover at top of Wells Fargo brokerage group

'New leadership has been making big strides,' says industry source.

Investing lessons from the Beanie Babies bubble
PRACTICE MANAGEMENT JUL 31, 2023
Investing lessons from the Beanie Babies bubble

The collectibles market is very different from the stock market, and value can be difficult to assess.