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Considering an equity ownership structure? Here are 4 questions to consider
OPINION JUL 12, 2023
Considering an equity ownership structure? Here are 4 questions to consider

Offering employees an ownership stake can give you a valuable tool to attract and retain great people, and it often makes internal succession much easier.

Merrill Lynch smacked with $12 million penalty for reporting violations
PRACTICE MANAGEMENT JUL 11, 2023
Merrill Lynch smacked with $12 million penalty for reporting violations

According to the SEC and Finra, for years Merrill botched the reporting threshold for potential suspicious transactions.

InvestCloud names Heather Bellini president and chief financial officer
FINTECH JUL 11, 2023
InvestCloud names Heather Bellini president and chief financial officer

Bellini will oversee finance, legal, HR and business operations at the company, which is rebuilding executive leadership after a spring shakeup.

Amid volatility, tech that proves an advisor's value will thrive
FINTECH JUL 11, 2023
Amid volatility, tech that proves an advisor's value will thrive

There's new pressure on advisors to clearly demonstrate the value they deliver to clients, and technology will play a key role.

Schwab sharpens focus on distinct needs of wealthiest client groups
PRACTICE MANAGEMENT JUL 11, 2023
Schwab sharpens focus on distinct needs of wealthiest client groups

The firm has launched two brands to differentiate between high-net-worth and ultra-high-net-worth clients

Are you hiring or firing? Advisors and the end of the Great Resignation
ALTERNATIVES JUL 10, 2023
Are you hiring or firing? Advisors and the end of the Great Resignation

The June employment report showed fewer new jobs than expected, but what does that mean for staffing advisory firms' back offices?

The latest in financial #AdvisorTech — July 2023
FINTECH JUL 10, 2023
The latest in financial #AdvisorTech — July 2023

This month's highlights include Pershing X's launch of Wove, Blueleaf's 'aggregation-as-a-service' solution, and Nitrogen's new set of firmwide data analytics capabilities.

Regulators likely to take wait-and-see approach on AI
FINTECH JUL 10, 2023
Regulators likely to take wait-and-see approach on AI

The SEC is working on proposed rules related to artificial intelligence and other technologies, and Senate Majority Leader Chuck Schumer has announced a framework for AI legislation.

Retirement uncertainty and the advisor shortfall
RETIREMENT PLANNING JUL 10, 2023
Retirement uncertainty and the advisor shortfall

The rational, eat-your-vegetables approach to retirement peace of mind only goes so far. Advisors must become more adept at helping clients to prepare emotionally.

AI arrives on Wall Street
FINTECH JUL 10, 2023
AI arrives on Wall Street

Morgan Stanley and JPMorgan seize the initiative, while smaller firms grapple with a lack of standardized data.

Advisors jumping onto Threads could create compliance headaches
FINTECH JUL 07, 2023
Advisors jumping onto Threads could create compliance headaches

Currently Threads lacks many of the features that are standard on other social media platforms, such as direct messaging and feed curation.

Millennial advisor carves a niche populated by her peers
RIAS JUL 07, 2023
Millennial advisor carves a niche populated by her peers

Emily Stead wants to be the advisor people think of when a younger person is facing a financial challenge.

What advisors need to tell clients traveling abroad this summer
LIFE INSURANCE AND ANNUITIES JUL 06, 2023
What advisors need to tell clients traveling abroad this summer

Financial advisors nationwide are taking calls from clients asking about what they should have in place prior to international travel.

Return to office threatens to undermine advances for women
PRACTICE MANAGEMENT JUL 06, 2023
Return to office threatens to undermine advances for women

Cracking down on remote work could send stress fractures through women's advancement, pay equity and corporate returns.

New mission for African American advisor trade group
RIAS JUL 06, 2023
New mission for African American advisor trade group

The Association of African American Financial Advisors is a 'sleeping giant trying to awaken,' says chair Christian Nwasike.

Advisors use fintech frequently but which ones and why?
FINTECH JUL 06, 2023
Advisors use fintech frequently but which ones and why?

Trading and portfolio rebalancing are among the most popular types of technology among advisors, but which providers are their favorite and what determines satisfaction?

How to fire problem clients
PRACTICE MANAGEMENT JUL 05, 2023
How to fire problem clients

Acquiring clients can be costly but having the 'confidence and conviction' to let a bad fit go is vital.

Advisors prep clients for recession everyone anticipates but nobody can see
RIAS JUL 05, 2023
Advisors prep clients for recession everyone anticipates but nobody can see

Consensus estimates are that the US economy will dip into recession later this year or early next year.

Finra dings Hightower with $353,000 penalty over alt sales
RIAS JUL 05, 2023
Finra dings Hightower with $353,000 penalty over alt sales

Both GPB private placements and the LJM mutual fund were widely sold by brokerage firms prior to 2018.

How tax refunds can kickstart clients' retirement plans
OPINION JUL 05, 2023
How tax refunds can kickstart clients' retirement plans

There are many ways for clients to make sound investment decisions with their tax refunds, but it's important to understand their entire financial picture before giving advice.